CSA

Canadian Securities Regulators Collaborate to Protect Investors and…

Montreal – The Canadian Securities Administrators (CSA) today released its fiscal year 2019/20 Enforcement Report, which outlines how securities regulators are protecting investors and the integrity of Canada’s capital markets. Highlights from the fiscal year 2019/20 Enforcement…

Volcker Rule Reforms

The Head of Enforcement at FINRA was the…

FINRA is the Financial Industry Regulator Authority, and it is the self-regulatory organization over the securities industry in the US.  Jessica Hopper is FINRA’s new Executive Vice President and Head of Enforcement, and she was…

IOSCO

IOSCO Issues Crypto Trading Report for Regulators

The Board of the International Organization of Securities Commissions (IOSCO) has published a report on crypto-asset trading platforms (CTPs) which sets out key considerations to assist regulatory authorities in addressing its risks. Titled Issues, Risks…

FINRA

FINRA Reports from its Buildathon

US regulators are playing catch up to the rest of the world when it comes to leveraging financial technology. FINRA, the Financial Industry Regulatory Authority, recently held its Buildathon: a sort of Hackathon. From the…

The debate over the centralization of regulatory power…

The House Financial Services Committee Task Force on Financial Technology held a hearing entitled: “Overseeing the Fintech Revolution: Domestic and International Perspectives on Fintech Regulation.” The witnesses were regulators from multiple continents including Valerie Szczepanik…

US Securities and Exchange Commission - VALIC

CFTC and SEC Participate in the Signing Ceremony…

Washington, DC — At the 44th Annual International Organization of Securities Commissions (IOSCO) Conference in Sydney, Australia, the Chairmen of the U.S. Commodity Futures Trading Commission (CFTC) and the U.S. Securities and Exchange Commission (SEC) participated…

FIATECH

FIA Launches Podcast to Feature the Issues, People…

FIA Speaks features CFTC Chairman Giancarlo as the guest for Episode #1; New Episodes Coming Soon Washington, DC – FIA today launched FIA Speaks—a podcast to provide greater insight into the people, major topics and…