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Crypto currency

‘Same risk, same regulation’ principle falls short

Paper argues that stablecoins need bespoke rules to address their novel risks

ponzi scheme

Bridge loan business turned Ponzi scheme: SEC

Regulator alleges that alt lender began using investor money to pay returns

Crypto coins

Regulated crypto firms face ‘halo effect’ risk: ESMA

Investors could be confused by firms selling regulated and unregulated products side by side, regulators warn

cryptocurrencies

ESMA calls for stricter scrutiny of crypto firms

Regulators should resolve risks upfront before firms get authorization, it says

Concept of digital investment tools

CIRO tackles the dreaded account transfer problem

SRO proposes rule changes, calls for an industry-wide technological solution

Investment banking

FSB tackles leverage in the shadow banks

Global policy group details recommendations for dealing with risks to financial stability

Piles of coins

U.S. brokerage business grows: FINRA

SRO data shows that aggregate industry profits, rep counts rise

Crypto coins

U.S. charges operators of global crypto scheme

Investors misled, lost US$650 million to purported trading venture

Facade of bank of england

Bank of England fines first infrastructure firm

Payments firm faces sanction over compliance, governance failings

advisor and client meeting

Bank reps under pressure to sell: OSC and CIRO

Research "showed a statistically significant association" between sales pressure and recommendations not in client interests

Retirees

Pressure on bank reps is nothing new

Reps' concerns have been documented for years in IE's Report Card research

Ontario

OSC consults on Indigenous reconciliation

Regulator releases draft action plan on its vision for more equitable capital markets

emissions from smoke stack

ESMA plans its own emission cuts

Business travel, office energy consumption to be cut as regulator seeks to shrink its carbon footprint

Class action

FCA sanctions fintech over anti-crime controls

Online bank had inadequate KYC, risk assessment during rapid growth

Quantum computer

Urgent action needed to prepare for quantum threat

Paper calls for central banks to lead preparations for looming security risk

Judge makes ruling

Former rep sanctioned for risky discretionary trading

Clients lost millions on futures trading that generated large commissions

Advisor tracking stocks

CIRO expands CDR, ETF trading halts

SRO to mimic U.S. regulatory halts for stock-tracking vehicles

Chart showing ups and downs of stock market

Ex-analyst gets jail in U.K. for insider trading

Scheme exploited information about companies picked up at fund management job

Bridge being built

OSFI aids insurers’ infrastructure investment

Cuts to insurers' capital requirements could boost investment capacity

Crypto coins

Crypto fraudsters get jail in U.K.

Pair sentenced in connection with a boiler room scheme

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

Firm appeals OSC receivership

Judge set the bar too low in granting regulator's application, real estate firms argue

stealing money

SEC secures final judgment in ‘free rider’ case

Scheme exploited trading credits offered by brokerage firms

Queen's park, Ontario

Out-of-province insurance advisors applying for Ontario licensing can get to work faster

June legislation removed some barriers to labour mobility

Rules and regulations

CIRO’s CRM3 rules get CSA approval

Expanded fund reporting requirements to take effect in 2026

Fraud allure

Forex firm faces fraud charges

Police allege financial institutions defrauded in money laundering scheme