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trader at desk

IOSCO flags market surveillance struggles

Regulators face challenges with market fragmentation, high-tech trading

Businessman touching a screen showing the concept of global networks

Investment dealers want open (banking) relationships too

CIRO plans to facilitate voluntary participation in federal open banking effort

Financial stock exchange market display screen board on the street

U.K. signals move to T+1 in 2027

Industry taskforce to oversee transition in line with continental Europe

Judge's gavel

FCA sanctions dividend arbitrage trading

Case marks the regulator's eighth and last enforcement action in this area

Crypto coins

ESMA aims to set crypto proficiency standards

Regulator proposes knowledge standards under new crypto regime

Businessman inspecting paperwork document digitally

Regulators to explore e-KYC, portable data

CSA unveils first project under new effort to test industry innovations

Alberta flag

Charles DeBono banned by ASC

The Ontario Capital Markets Tribunal issued a similar ban last year

  • By: Kevin Press
  • February 17, 2025 February 17, 2025
  • 09:48
Tiny bank

OSFI pause signals doubt over final Basel reforms

Full implementation of post-crisis reforms in peril amid competitive concerns

U.S. flag

CFTC names new enforcement chief

Derivatives regulator's acting head becomes director of enforcement

virtual regulation

ESMA to review fund managers’ internal controls

Review to take place throughout the year, ESMA to report in 2026

stealing money

Fake AI hedge fund manager admits fraud in U.S.

Scheme promised investors hefty profits from AI-driven trading strategy

crypto currency regulation

Crypto miners plead to U.S. fraud charges

Estonian pair agreed to forfeit over US$400 million in assets for duping investors

white house in washington dc

U.S. CFPB closure bad for consumers, OK for firms

Advocate's shutdown would ease legal and compliance costs, DBRS says

Chart showing ups and downs of stock market

Market risks high, correction possible: ESMA

Surging markets highlight risk of decoupling from economic reality

Fines graphic

FINTRAC sanctions securities dealer

Compliance review uncovered weaknesses in firm's compliance procedures

Annual general meeting

SEC makes it easier to ignore shareholder proposals

Companies will have more freedom to reject shareholder issues

Rules and regulations

OSFI puts capital hike on hold, indefinitely

Regulator cites competitive concerns in pausing Basel III reforms

compliance

U.K. trader avoids U.S. insider trading charges

Supreme Court rules that the charges don't meet the test for extradition

B.C. court rejects bid to revise will, impose a trust

Woman sought to have large inheritance placed in fully discretionary trust to avoid losing disability benefits

Illustration of a businessperson using a magnifying glass to examine files

SEC relaxes audit trail requirements

Move weakens investor protection, commissioner says

changes ahead sign

ISS drops race, gender from U.S. proxy voting

Firm cites U.S. government shift against DEI for policy change

SEC retreats on climate disclosure rules

Regulator signals halt to its legal defence of tougher climate rules

Court settlement

Investor class action against cannabis firm settled

$30 million deal requires court approval, set for March 26

SEC hacker pleads guilty

Breach was used to falsely post about bitcoin ETF approval, sending crypto prices up