The Board of the International Organization of Securities Commissions (IOSCO) Issued a final report that provides an overview of ...
CN Editor
June 20, 2019
REGULATORS MULL REDEMPTION FEES FOR INVESTORS WHO SELL DURING MARKET STRESS
IOSCO SEEKS FEEDBACK ON PROPOSED GOOD PRACTICES ON LEVERAGED LOANS AND CLOS AND PUBLISHES ITS THEMATIC ANALYSIS ON EMERGING RISKS IN PRIVATE FINANCE
IOSCO ESTABLISHES GLOBAL APPROACH TO ADDRESS RISKS IN DECENTRALISED FINANCE
CPMI AND IOSCO REPORT HIGHLIGHTS THE NEED FOR CENTRAL COUNTERPARTIES TO HAVE ADEQUATE RESOURCES AND APPROPRIATE TOOLS TO ADDRESS NON-DEFAULT LOSSES
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INVESTOR COMPLAINS THAT UNSUITABLE MUTUAL FUND INVESTMENTS LED TO FINANCIAL LOSS
BCSC SETTLES WITH PORTFOLIO MANAGER FOR SALES PRACTICE AND COMPLIANCE SYSTEM VIOLATIONS
CIRO UPDATED GUIDANCE - ANTI-MONEY LAUNDERING COMPLIANCE FOR INVESTMENT DEALERS
PMAC SUMMARY ON THE OSC"S ANNUAL COMPLIANCE AND REGISTRANT REGULATION (CRR) BRANCH SUMMARY REPORT FOR DEALERS, ADVISERS AND INVESTMENT FUND MANAGERS