Markets at risk of big correction, ESMA warns
Regulators particularly concerned about retail investor exposure
- By: James Langton
- February 15, 2022 February 15, 2022
- 13:09
Latest news in From the Regulators
Fed officials agree on a March rate hike but little else
Some economists now forecast as many as six or seven quarter-point hikes this year
- By: Christopher Rugaber, The Associated Press
- February 14, 2022 February 14, 2022
- 15:13
The high price of industry misconduct
ASIC reports faulty advice compensation tops A$3 billion
- By: James Langton
- February 14, 2022 February 14, 2022
- 15:02
SEC, NASAA settle with crypto lender
BlockFi agreed to a US$100-million penalty and to seek registration
- By: James Langton
- February 14, 2022 February 14, 2022
- 12:15
Exempt dealer wins defamation suit over scurrilous scam claims
The court awarded aggravated and punitive damages, and granted a permanent injunction
- By: James Langton
- February 11, 2022 February 11, 2022
- 15:22
FCA flames firm’s finfluencer efforts
U.K. regulator orders posts taken down over misleading ad concerns
- By: James Langton
- February 11, 2022 February 11, 2022
- 15:06
ESMA targets greenwashing in sustainable finance plan
Regulator sets out roadmap for sustainability agenda
- By: James Langton
- February 11, 2022 February 11, 2022
- 14:54
SEC buffs up its gold-plated whistleblower policy
Regulator aims to keep attracting enforcement tips with changes to bounty program
- By: James Langton
- February 10, 2022 February 10, 2022
- 16:25
Investors drop proposed class action after shares rebound
Plaintiff says "never mind" to lawsuit against Stableview Asset Management after losses recovered
- By: James Langton
- February 10, 2022 February 10, 2022
- 16:15
Seg funds to face DSC ban too
CCIR, CISRO consultation will also consider outright ban on upfront commissions
- By: James Langton
- February 10, 2022 February 10, 2022
- 13:36
New regulations proposed for U.S. private fund advisers
The SEC is inviting public comment on new regulations including a ban on charging certain fees to a private fund or its portfolio investments
- By: IE Staff
- February 9, 2022 February 9, 2022
- 14:24
Temper inflation through better productivity: Bank of Canada governor
Invest in worker productivity to create non-inflationary growth, BoC Governor Tiff Macklem tells businesses
- By: The Canadian Press
- February 9, 2022 February 9, 2022
- 12:20
Killer’s daughter to share victim’s estate
B.C. court finds the daughter of a man who killed his mother is entitled to his share of her estate
- By: IE Staff
- February 9, 2022 February 9, 2022
- 11:12
U.S. Justice Department boasts US$3.6 billion crypto bust
Pair charged with laundering proceeds of 2016 Bitfinex hack
- By: James Langton
- February 8, 2022 February 8, 2022
- 14:10
SEC alleges pump and dumps played out on Twitter
The regulator said a series of stock scams used social media
- By: James Langton
- February 7, 2022 February 7, 2022
- 16:43
Digital finance, social media raise red flags for regulators
European authorities call for "rapid action" to keep up with risks
- By: James Langton
- February 7, 2022 February 7, 2022
- 14:41
CSA endorses industry move to T+1
Regulators call for cooperation, preparation to shorten settlement cycle
- By: James Langton
- February 3, 2022 February 3, 2022
- 15:43
ESMA launches consultation on ESG ratings
Lack of standards poses investor protection concerns, European regulator warns
- By: James Langton
- February 3, 2022 February 3, 2022
- 12:48
An end in sight for Crocus investors
Deloitte aims to make final payout in receivership that started in 2005
- By: James Langton
- February 3, 2022 February 3, 2022
- 12:20
Scheme targeted elderly investors, U.S. regulators allege
Dozens of state and federal regulators charge that investors were duped by false claims
- By: James Langton
- February 1, 2022 February 1, 2022
- 17:03
FP Canada to publish interim decisions of disciplinary proceedings
The move is part of the certification body's revised rules and procedures
- By: Michelle Schriver
- February 1, 2022 February 1, 2022
- 15:38
Firms win access to closet indexing evidence
A B.C. court ruled that CIBC and HSBC can see reports filed in a TD case
- By: James Langton
- February 1, 2022 February 1, 2022
- 14:57
BCSC sanctions founder of failed mortgage firm
Man fined and banned for 15 years for misleading investors
- By: James Langton
- February 1, 2022 February 1, 2022
- 13:37
Investors weighing pair of bids for Bridging
PwC to make recommendation to court by mid-February
- By: James Langton
- February 1, 2022 February 1, 2022
- 13:17
Back to business as usual for FINTRAC
Agency to end temporary pandemic measures
- By: James Langton
- January 31, 2022 January 31, 2022
- 13:40