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Budget seeks to expand financials’ diversity disclosure, virtual meetings

Government aims to improve transparency at federally regulated financial institutions

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Budget promises reform to banking complaints

FCAC charged with selecting single, external complaints body

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MX seeks market surveillance boost

Exchange proposes new client ID requirements

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The next hurdle in climate reporting: oversight

IOSCO calls for work to develop assurance standards for sustainability reporting

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SEC secures asset freeze against accused Canadians

B.C. court grants injunction against defendants in global pump and dump scheme

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S&P fined by ESMA for rating rule breaches

Rating agency hit with €1.1-million penalty for internal control shortcomings

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Stopping the clock on advisor lawsuits over Bridging

Firm seeks to suspend the limitation period on potential claims against advisors and dealers

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CFTC takes on crypto giant Binance

Regulator alleges the company told U.S. investors how to avoid controls

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Yellen says bank situation stabilizing, different from 2008

Treasury Secretary said more rescue efforts could be necessary to prevent contagion

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Finance Minister outlines priorities as pre-budget week kicks off

The government will show more fiscal restraint as part of efforts to rein in inflation

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Fed’s tough challenge: Confront inflation and bank jitters

Most economists think the Fed will raise rates by a quarter-point on Wednesday

Whistleblower

OSC awards $481K to whistleblower

The insider provided information the commission otherwise could not have obtained

  • By: IE Staff
  • March 20, 2023 March 20, 2023
  • 12:46
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New SRO highlights proprietary product conflicts

A review identified gaps in addressing conflicts associated with proprietary products

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U.S. bank pleads guilty to securities fraud

Sanctions softened to avoid putting bank out of business

Court.

Bank exec pleads guilty to obstructing fake account inquiry

Former Wells Fargo EVP agrees to ban, US$17-million penalty in deal with regulators, authorities

laptop with steel security lock. password

SEC seeks stouter cyber defences

Regulator's proposal aims to address concerns about systemic cyber events

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Court dismisses challenge to raising retirement age

Decision upholds lower court ruling in favour of pension plan, trustees

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SRO panel laments remote hearing challenges

Panel concluded that rep was participating in proceeding anonymously

Judge gavel, scales of justice and law books in court

SEC lawyer turned fraudster guilty, again

Pair pleaded guilty in penny stock fraud scheme

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European regulators seek climate data for structured products

Investors and supervisors need data on underlying assets, regulators say

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Former fund rep’s suit against Quebec regulator tossed

Quebec court cites statutory immunity in dismissing claim

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Former fund rep sanctioned for loans from clients

Rep fined, banned after borrowing from clients, misleading dealer

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Wall Street traders get jail for spoofing

Traders sought to manipulate commodity futures markets, DoJ said

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Anti-greenwashing efforts carry cost, risk for fundcos

Despite risks, lure of flows, revenues expected to keep managers keen on green funds: Fitch

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Ex-Goldman banker gets 10 years in 1MDB case

Conviction on corruption and money laundering charges involved Malaysian sovereign wealth fund