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Accounting firm to pay $3.5 million for substandard audits of Crystal Wealth

A portion of the settlement agreement with the OSC will go to defrauded investors

Business lawyer team. Working together of lawyer in the meeting.

MFDA sets compliance agenda for 2020

New compliance targets have emerged from the SRO's data analysis efforts

Block letters spelling fraud, with magnifying glass

Fraud tipsters help recover investor assets, SEC says

Whistleblowers "crucial" in protecting retail investors

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CSA ready for trading fee rebate study, but only if SEC follows

Pilot study would examine the effects of banning trading fee rebates

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Brokerage firm sanctioned for supervisory failures

Firm failed to question sales on risky exempt securities to certain clients

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Manitoba mortgage rep charged over alleged senior abuse

Elderly Winnipeg widow reportedly bilked by ex-securities rep

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FCA to scrutinize advice on retirement

The U.K. regulator remains concerned about scams and suitability in the retirement market

open door business

NASAA names new general counsel

A former SEC and CFTC executive will be head of the group's legal division

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Maureen Jensen to step down from OSC

Grant Vingoe will take over as acting chair following Jensen's departure on April 15

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Bank of Canada exploring digital currency

Group of central banks to look at the function and use of digital dollars

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OSFI delays final post-crisis reforms

Revisions to operational risk capital requirements pushed to 2022

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Shadow banking dims, FSB reports

Total shadow banking assets have declined, with growth slowing sharply in the riskiest segments

OSFI consults on liquidity rules for smaller institutions

The goal is to improve preparedness and resilience to financial risks and to ensure capital and liquidity rules remain appropriate for smaller organizations

Many hands choosing cryptocurrency coins from box labeled ICO

SEC charges Boaz Manor in alleged fraudulent ICO offering

U.S. regulator alleges convicted Portus co-founder used a fake identity to raise more than US$30 million from investors

rules and regulations written on folder

Regulators to focus on big projects

With the concept of a national regulator in limbo, the CSA plans to review the self-regulatory structure

Court.

Former fund rep fined, banned by MFDA panel

Allegations include improper personal financial dealings and misleading investigators

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CSA provides guidance on crypto trading

Regulators set out when trading platforms are subject to securities law

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Hastening the demise of LIBOR

U.K. authorities set deadlines for move away from troubled benchmark

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It’s official: IOSCO recommends synchronizing watches

The group first proposed adopting UTC to enhance market oversight back in September

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MX sanctions Deutsche Bank for supervisory shortcomings

Firm gave employees trading access without approval

Business lawyer team. Working together of lawyer in the meeting.

Advisor fined $60K for due diligence failures

IIROC says the advisor failed to learn “essential facts” about a client

red warning flag on a stormy beach

SEC warns of new digital offerings

So-called IEOs may be rife with the same misconduct associated with ICOs

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

Man charged with violating OSC order

The regulator alleges he breached an order imposed in a settlement agreement

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BIS adds members, expands committees

The global group of central banks has announced new emerging market members

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IIROC updating guidance alongside rules

The guidance overhaul follows a plain-language rulebook rewrite