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Crypto fraud case focuses on promises to investors

Tokens alone didn't qualify as securities, regulatory tribunal rules


Advisers didn’t disclose work with short-sellers: SEC

Fund's strategy included working with publishers of bearish articles

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Crypto platform to pay US$4.5 billion in SEC deal

Resolution follows finding that Terraform Labs and its founder are liable for securities fraud

Climate change board

Tackling climate risk with existing, imperfect data

Regulators in Singapore develop a model for getting early insights on climate risk

Judge looks at papers

Recovery for Bridging investors grinds along

Court asked to approve loan sale as part of receiver's ongoing efforts

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FSRA refuses licence over false CE certificates

Agent deemed unsuitable after deceiving regulators about continuing education


U.S. fund manager admits fraud in failed funds

Allianz Global Investors funds hid risk, then collapsed during pandemic


Boiler room brokers not easily deterred: SEC

Three men charged for repeatedly running a pre-IPO share scheme

liquid dollar sign

Funds get added liquidity cushion amid shift to T+1

OSC relief addresses potential mismatch between settlement cycles

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Crypto Ponzi schemer pleads guilty

Investors victimized by phony crypto trading scheme, and worthless token

A person inside a financial maze made out of hedges.

Court strikes down SEC’s private fund rule

Regulator exceeded its authority with its proposed rulemaking

TD bank. stock photo

TD faces class action over money laundering scandal

Claim alleges that bank failed to disclose deficiencies fast enough

Computer keys

IOSCO calls for action on market outages

Software glitches the most common causes of trading failures, regulators find


Fake investment firm sanctioned

Sham fund manager engaged in a Ponzi scheme, regulators ruled

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European regulators remind industry to stop greenwashing

ESMA promises tougher oversight, calls on industry to avoid misleading claims

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For many, @FinanceBro on par with industry advice

CIRO survey finds investors relying on social media, ranking it as worthy as traditional advice

right or wrong choice

IOSCO tackles rising loan risks

Market has evolved dramatically since the global financial crisis

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Europe reviews investment firms’ capital rules

Crypto exposures, operational risks may need capital charges


FSRA puts conditions on ivari’s registration

A monitor must review the selling practices of the MGAs that recruit and supervise agents selling ivari’s products


Shareholder activism hid a pump-and-dump: SEC

Investor floated fake takeover offer to boost stock's price


ESMA issues guidance on crypto conflicts

Rules don't prohibit vertically integrated crypto firms, European regulators confirm

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Former U.S. banker sentenced to prison for crypto fraud

Investors were duped with promises of crypto trading returns


WFG, IA fined in connection to alleged unlicensed insurance agent

FSRA is also proposing a penalty of $80,000 for the individual involved

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Regulators eager for responses to sustainability disclosure consultation

Comments on the Canadian Sustainability Disclosure Standards are due June 10

Doing Homework

FCNB joins fight against LLQP cheats

Regulator follows CISRO, FSRA with tougher exam administration policy