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IOSCO, ISDA grapple with crypto’s emergence

Standards setters develop scaffolding for fledgling asset class


U.K. targets false advertising in crypto space

As crypto ownership has grown, knowledge has dropped, government says


Court approves $125-million settlement in “David vs. Goliath” case

The class action alleged CIBC failed to disclose U.S. subprime exposure during the financial crisis

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From influencers to confetti drops, investor protection threats evolve

International regulators are consulting on measures for overseeing an increasingly digitized retail investment business

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After escaping ASC sanctions, man faces new charges

Regulator alleges man violated trading, officer bans

Queen's park, Ontario

FSRA finalizes title regulation rules

Final rules sent to minister for approval; implementation remains uncertain

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U.S. Ponzi schemer gets 17-year jail sentence

A United States federal court ordered Perry Santillo to pay US$103 million in restitution. Some clients suffered six-figure losses as money from new investors went…

natural environment

No time to waste on climate risk, BoC and OSFI warn

Scenario analysis finds that delaying policy action raises the economic and financial sector impacts

Business meeting during Coronavirus pandemic.

IOSCO seeks pandemic lessons in resilience

Continuity planning enabled firms, trading venues to ride out disruption

paper with words anti-money laundering

FINTRAC fines credit union

Regulator sanctions firm for anti–money laundering compliance violations

Close up of businesswoman using calculator while going through financial bills.

CSA adopts changes to auditor oversight rules

The amendments give regulators access to audit work performed by foreign firms

  • By: IE Staff
  • January 13, 2022 January 13, 2022
  • 14:50
advisor-client meeting

IIROC proposes rule amendments to better protect investors

Changes include clearer requirements for dealers to conduct investigations

  • By: IE Staff
  • January 13, 2022 January 13, 2022
  • 14:08

Affinity fraud targeted Pakistani-Canadian community, OSC alleges

Regulator says scheme took $2 million from investors


FSRA to shine a light on enforcement

The regulator is stepping up public disclosure of disciplinary actions

changes ahead sign

OBSI releases strategic plan amid increased scrutiny

Promises for action on OBSI have repeatedly gone unmet, however

United States Federal Reserve System symbol

“If we have to raise interest rates more over time, we will,” Powell says

The Fed chair said Tuesday that inflation poses a major threat to the job market


Nova Scotia regulator bans repeat offender

The former rep was also ordered to pay a $500,000 fine for securities violations

business man using magnifying glass to inspect documents

Market data faces scrutiny from U.K. regulator

FCA launching series of studies in response to anti-competitive concerns

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

IIROC panel sanctions rep for KYC violations

Clients lost over $1 million on risky options strategy in market crash


Crypto scams top regulators’ list of threats

Stories of "crypto millionaires" have led to big bets and big losses


SEC alleges insider trading ahead of failed Aphria bid

U.S. authorities charged three men in connection with an alleged multimillion-dollar scheme


IIROC bans, fines former advisor $1 million

The ex-representative embezzled funds from elderly clients

papers on a desk

FSRA consults on living wills for credit unions

Consolidation may make it tougher for troubled firms to find merger partners

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

Canaccord settles IIROC client overcharging case

The firm agreed to a $157,500 fine and will repay 6,000 affected clients

Blockchain concept over city background

ESMA preps for blockchain pilot

Regulators consult on rule changes ahead of digital securities test