Regulatory

Banking giant hit with record fine for reporting failures

Citigroup has agreed to pay £43.9 million to resolve allegations that it failed to accurately report its capital and liquidity positions to U.K. regulators

By James Langton |November 26, 2019

1 min read

IIROC updating guidance on AML requirements

The regulator first issued AML compliance guidance in 2010

By James Langton |November 25, 2019

1 min read

OSC says work ‘almost done’ on derivatives dealer conduct rules

The long-awaited rules could be coming soon, according to the director of the OSC's derivatives branch

By James Langton |November 22, 2019

1 min read

N.B. to be fifth province to give IIROC full enforcement toolkit

The province has proposed changes to its securities legislation

By James Langton |November 22, 2019

2 min read