Home News From the Regulators

Latest news in From the Regulators

Court.

Court certifies crypto class action against Binance

Suit alleges that retail investor trades violated securities law

gavel

Crypto manipulator convicted

Trader defrauded platform of over US$110 million in novel market manipulation

Bitcoin cyptocurrency

OSC hikes fees for crypto firms

Regulator adopts new charges to cover added costs on overseeing crypto sector

Gavel and Money - Canada stock photo

CIRO seeks stiffer enforcement sanctions

SRO proposes doubling maximum fines, toughening suspensions

Trader at computer screen

CSA sets path to market data reforms

Regulators to boost fee transparency, explore enhanced retail access

Entrance to Financial Services Regulatory Authority of Ontario

FSRA disciplinary disclosure faces legal challenge

Ontario court allows bid for judicial review of enforcement practices

Court.

Former fund rep fined, banned for fraud

Retirees duped by fake investment for almost a decade, SRO finds

Building graph

Improving how shadow banks cope with stress

FSB proposes series of recommendations for addressing liquidity issues

CSA extends crypto firms’ stablecoin deadline

Crypto platforms get until Oct. 31 to meet CSA's interim rules

Picking a dollar

Real estate Ponzi schemer sanctioned by BCSC

Fraudster raised $1.2 million from investors in illegal distribution

Justice scales and gavel by books

Crypto exchange hacker gets jail time

U.S. judge sanctions first smart contract hacker

online investing

Retail investor issues get top billing on IOSCO agenda

Broker conflicts, finfluencers, gamification among regulators' priorities

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Ontario court certifies fourth NSF fee class action

Case alleges Scotiabank charged duplicate fees on failed debits

Silhouette of man at sunset

CIRO sketches three-year strategic vision

Expanding access to advice, standardizing KYC data collection on SRO's agenda

Court.

Fund rep’s side hustle results in ban, fine

Clients lost more than $1.5 million on rep's failed fintech venture

gavel

PCAOB sanctions KPMG, Deloitte affiliates for exam cheating

Audit regulator hits KPMG's Dutch division with record US$25-million fine

Trader screen

FCA to revive research bundling

Regulator aims to ease asset managers' access to investment research

Judge gavel, scales of justice and law books in court

Investors share modest recovery following former rep’s unregistered trading

BCSC returns nearly $40,000 to investors who lost much more

ESMA grapples with securities financing

Regulator publishes first examination of opaque market segment

concept of time

Momentum building for T+1 in Europe

Industry trade groups line up behind U.K.'s call for move by 2027

a man pushing a giant ball while others push squares

Rep incorporation proposals prove to be sticky wicket

Industry divided on, investor advocates opposed to, reforms

gavel

FCAA sanctions real estate scheme operators

Settlement includes 20-year market bans, monetary sanctions

gavel

BMO Nesbitt sanctioned for supervisory shortcomings

Firm failed to adequately oversee rep's risky trading strategy, CIRO says

Entrance to Financial Services Regulatory Authority of Ontario

FSRA takes enforcement action against MGA

Regulator suspends firm and agents amid alleged misconduct

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Fund dealer chief sanctioned for misleading SRO

Terms of firm's sale weren't fully disclosed to regulators