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FSRA proposes DSC ban for seg funds

Proposal would eliminate regulatory arbitrage between seg funds and mutual funds


Wealthsimple Advisor settles client privacy case with MFDA

Regulators alleged the firm's onboarding process for new reps was deficient

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Regulators see threat to stability in shadow banks’ growth

Ties to banks and weak risk management raise concern for Basel Committee

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Global housing price growth slows: BIS

Despite the recent slowdown, prices are higher than pre-pandemic levels


New SRO gets formal approval from CSA

Provincial regulators finalized recognition orders and interim rules

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Citi’s living will needs work: Banking regulators

Bank promises action to address weakness flagged by Fed, FDIC

Pile of cryptocurrency coins

No crypto in retirement accounts: NY AG

Recent failures, volatility, make crypto unsuitable for long-term savings, says New York state attorney general Letitia James

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FCA consults on LIBOR wind down

Proposal would see final U.S. dollar setting terminated in Sept. 2024

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OSC adopts new fee model

New $13.5-million fee for OTC derivatives market players to launch April 2023

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Canadian charged in pump-and-dump scheme

U.S. authorities allege Quebec firm used in market manipulation


Rep fined, banned for misappropriation

SRO alleged rep took money from a client who was a fellow fund rep

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GSAM settles SEC greenwashing allegations

Firm agrees to pay $US4 million to resolve charges that it didn't follow ESG policies

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FCA seeks industry code for ESG ratings, data

Regulator forms industry group to develop voluntary code of conduct


CRM3, DSCs, new SRO top OSC agenda

Regulator sets out draft priorities for fiscal 2024

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Trading apps risk turning investors into gamblers: FCA

U.K. regulator says gamification tactics can drive problematic investor behaviour

When can funds call themselves green?

ESMA proposes portfolio thresholds for ESG, sustainable funds

Businessman analysis the stockmarket on labtop Stock Market Investment Online

SEC charges brokers over unregistered penny stock trades

Side business allegedly enabled billions of stock trades


No clarity for Bridging investors until the new year

Decision on investor priority motion likely to come in early January

Metal handcuffs placed over the word fraud

Ramp-and-dump schemes on the rise, FINRA warns

SRO sees surge in scams involving foreign-issuer, small-cap IPOs

Financial stock exchange market display screen board on the street

Worthless rewards drive trading activity: OSC study

Certain behavioural nudges influence investors, regulator finds


Federal regulators fire warning shot on crypto

OSFI, FCAC, CDIC call out firms' conduct, prudential responsibilities

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Financial stability risks rising, ECB warns

Deteriorating economic, financial conditions could amplify financial sector stress

cryptoassets regulation

FINRA signals crypto sweep

SRO seeks information on firms' recent crypto-related communications

European Union headquarters

Rooting out greenwashing sources and solutions

Europe's regulators launch consultation that will inform potential policy

Hand choosing employee group of businessmen new job appointment notice

MX reboots industry committee

Deadline for applications to join regulatory division committee is Dec. 15