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NASAA targets deadbeat brokers

Model rule, if implemented by regulators, would add enforcement teeth to arb awards, sanctions

ESG sustainable growth

G7 gives thumbs up to ISSB disclosure standards plan

Pursuit of global climate standards needs industry, policymaker participation


Former rep fined, banned for misappropriated client money

MFDA alleged over $300,000 was taken through early GIC redemptions, withdrawals

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Spotting the next Archegos before it blows up

ESMA review finds clues to growing risk, says work needed to improve oversight


Allianz Global pays US$6 billion to resolve fraud charges

Fund managers hid risk of complex trading strategy that blew up in March 2020

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Regulators greenlight CDOR benchmark reform

Industry to scrap the Canadian dollar offered rate by mid-2024

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As Russian invasion drags on, investor protection worries linger

European regulators set expectations for investment funds and issuers amid the conflict

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Private equity fund CEO gets jail for fraud

Scheme secured US$133 million in loans based on forged documents

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Cloud outsourcing poses systemic risk

ESMA paper says policy action may be needed to ensure resilience

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CSA unveils new SRO’s board

The Canadian Securities Administrators say the new SRO's CEO will be named in the coming weeks

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UBS settles with MX

Firm settled allegations involving unapproved electronic access


Former Fortune head gets jail time

David Singh was sentenced to three and a half years in jail and ordered to pay $4.8 million in restitution

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Automated disclosure fails retail investors, Europe’s regulators say

Recommendations aim to address poor practices in investment product disclosure

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Inflation, Ukraine overtake Covid as biggest threats to financial system, Fed says

The observations came in the Fed's semiannual Financial Stability Report

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Ontario court allows proposed class action over bank fee disclosure to proceed

Plaintiff brought case on behalf of TD Bank clients who were charged multiple NSF fees in connection with a single transaction

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SEC extends climate disclosure consultation

Proposed climate standards will get more time for comment

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SEC: Nvidia failed to disclose crypto as revenue generator

The firm will pay a US$5.5-million penalty but did not admit or deny the SEC's findings

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They promised crypto profits but bought Lambos instead: SEC

Global crypto mining and trading scheme was a sham, U.S. authorities allege


BitMEX co-founders sanctioned by CFTC

Trio failed to implement controls to prevent violations of derivatives, money laundering rules

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Screen-sharing scams surge, U.K. regulator says

Investors are getting duped into enabling remote access for fraudsters

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SEC alleges motley insider trading scheme

Front running unreleased stock picks netted US$12 million in illicit profits, U.S. authorities say

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FSRA approves another credential for financial planner title

The Canadian Securities Institute is the latest approved credentialing body for Ontario financial planners

  • By: IE Staff
  • May 4, 2022 May 4, 2022
  • 12:05
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Intensity and persistence of supply chain disruptions surprised Bank of Canada

Deputy governor Carolyn Rogers said a clear view of the future has been hard to come by over the last two years


SEC beefs up crypto enforcement unit

The regulator added 20 staffers to its crypto enforcement team


Biotech exec sanctioned for illegal bond sales to foreign investors

Firm violated B.C. law when it raised funds from Taiwanese investors, panel found