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buying insurance on a cell phone

Ontario proposes new MGA regulation

New regime aims to enhance consumer protection, set industry standards

Regulation

OSC’s compliance work escalates

Risky firms, crypto platforms add to compliance division's workload

Crossed fingers

Activist short seller charged with securities fraud

SEC, DoJ allege Citron Research, and its founder, misled investors

right or wrong choice

Fewer prospectuses key to FCA reform proposals

Proposals seek to ease capital raising, bring back research bundling

gavel

FCA undertakes its first enforcement action against a crypto enabler

U.K. regulator fined Coinbase company £3.5 million for compliance violations

compliance puzzle

CSA aims to ease derivatives reporting burden

Revisions seek to better align with global standards

hands holding planet

ESMA’s long-term vision for sustainable investment

Paper seeks improvements to enable economic transition

business people standing in line under a magnifying glass

Large dealers embrace remote exams: FINRA

Organization launches pilot program to allow remote supervision

Angry client

Fund dealer complaints drop, bank gripes up: OBSI

Fraud claims pass suitability issues among investment cases

Busy globe

Global financial stability risks remain, FSB warns

The group called for action on shadow banking reforms in letter to G20

Red alert

Much work to be done, CSA year in review shows

Ongoing regulatory initiatives include binding authority at OBSI, climate-related disclosures, misleading titles, mutual fund sales practices and more

announcement

OBSI seeks pair of new directors

With reforms pending, the organization will search for new consumer, industry board reps

China flag

China moves to pep up its slowing economy

The country released a 50-page roadmap and cut key interest rates Monday

Digital image of bar charts and graphs

Outage validates regulators’ outsourcing worries

FSB, Basel Committee have long warned of tech risk in financial sector

Judge's gavel with magnifying glass on black.

MX sanctions Citi for reporting violations

Weaknesses in position reporting uncovered in compliance review

gavel

New account schemers plead guilty

Short-term cash advances exploited in market manipulation

Folders with the label Retirement Plan and Pension

Ontario proposes new pension solvency test

Finance seeks funding test for plans that have been exempt

Greenwashing and isolated green warning sign against white background stock illustration

Greenwashing, greenhushing and greenwishing: The new sustainable finance lingo

Here’s what the terms mean and how some suggest putting an end to these practices

Whistleblower

Tipster settles for US$37-million whistleblower award

Tip helped, but SEC rules that compliance staff sparked investigation

man reading tablet and writing on paper

LLQP exam fees going up next month in Ontario

FSRA says higher fees due to rising technology, business costs

gavel

Court upholds BCSC’s power to compel

Constitutionality of regulator's investigative tools upheld on appeal

Magnifying glass looking at financial data

For U.S. regulators, the devil is in the data

Agencies adopt standards to address bias, conflicts in valuation models

Pile of cryptocurrency coins

Global banks face crypto disclosure rules

Basel Committee's requirements to take effect in 2026

Blue spikes

FSB targets cross-border payments regulation

Proposals seek to combat regulatory arbitrage, level playing field

Arrow cube

Basel Committee tweaks rate shock rules

Regulators recalibrate for zero-rate environments