Tag Archives: regulator

Financial Reporting Council to be replaced by new regulator with enhanced powers

On 11 March 2019, the Business Secretary, Greg Clark, announced that the Financial Reporting Council (“FRC”), a UK regulator responsible for auditors, accountants and actuaries, will be abolished. The FRC will be replaced by a new regulator, the Audit, Reporting … Continue reading

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For Better or For Worse? The Impact of a National Securities Regulator on Shareholder Activism in Canada

Canada is the only G20 country without a national securities regulator. Despite coordination among the provinces and territories, the current regime is often thought to encourage shareholder activism – whether by permitting forum shopping for more favourable regulations or given … Continue reading

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Advisor Noel Carino Barred by Regulator Over Unapproved Products

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Noel Carino (Carino), formerly associated with General Securities Corp., in November 2018, was sanctioned and barred from the securities industry by FINRA over accusations of potentially selling … Continue reading

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Towards a National Security Regulator

I had always presumed, erroneously, that all those entering the legal field would have some modicum of interest in public policy, equity issues, and promoting the rule of law. A significant chunk of the profession certainly do share those concerns, … Continue reading

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By Claire Sng Yesterday at a conference hosted by the UK advertising regulator, the ASA, billed as “The future of ad regulation”, the ASA announced its new 5 year plan entitled “More impact online”, with an ambition of making every … Continue reading

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