Court declines to interfere with Manulife settlement
No reason to allow appeal to proceed, B.C. appeal court finds
- By: James Langton
- January 28, 2022 January 28, 2022
- 09:44
Latest news in From the Regulators
European regulators integrate ESG into KYC
ESMA proposes making sustainability part of suitability
- By: James Langton
- January 27, 2022 January 27, 2022
- 15:36
CSA seeks to cut frequency of fund filings
Regulators say renewing prospectuses every two years could save the industry millions annually
- By: James Langton
- January 27, 2022 January 27, 2022
- 13:43
SEC wants more from hedge funds, private equity
U.S. regulator proposes new reporting requirements to boost oversight, investor protection
- By: James Langton
- January 26, 2022 January 26, 2022
- 15:18
Fed plans to raise rates as soon as March to cool inflation
The central bank also said it would phase out its monthly bond purchases in March
- By: Christopher Rugaber, The Associated Press
- January 26, 2022 January 26, 2022
- 14:39
Bank regulators explore digital currencies, DeFi
BIS Innovation Hubs lay out project lineup for year ahead
- By: James Langton
- January 25, 2022 January 25, 2022
- 13:45
Fed to signal rate hike as it launches risky inflation fight
Some economists have expressed concern that the Fed is already moving too late to combat high inflation
- By: Christopher Rugaber, The Associated Press
- January 24, 2022 January 24, 2022
- 15:32
Regulatory technology feasibility study launched
The Australian Securities and Investments Commission is looking at "regtech" technology solutions to monitor corporate disclosure
- By: James Langton
- January 21, 2022 January 21, 2022
- 15:46
New OSC fee model to hit banks
Regulator proposes hefty new fee for OTC derivatives players while cutting fees for others. Comments are being accepted until April
- By: James Langton
- January 21, 2022 January 21, 2022
- 14:27
Now hiring: CEO, board for new SRO
The CSA is seeking six industry directors and eight independent directors for the board
- By: James Langton
- January 21, 2022 January 21, 2022
- 12:01
Insurer wrong to deny payout in murder case
Ontario court rejects claim that victim misled company about his past
- By: James Langton
- January 20, 2022 January 20, 2022
- 16:15
Competition pays dividends for banking customers, FCA finds
Consumers enjoy lower costs, more choice through innovation, U.K. regulator says
- By: James Langton
- January 20, 2022 January 20, 2022
- 15:37
ESMA to examine funds’ valuation practices
Valuation risks could threaten financial stability, European regulators warn
- By: James Langton
- January 20, 2022 January 20, 2022
- 15:24
FINRA sanctions Credit Suisse
Firm violated SEC and SRO rules, including analyst disclosure requirements
- By: James Langton
- January 20, 2022 January 20, 2022
- 15:16
CSA takes third crack at derivatives conduct rules
Proposals aim to address issues exposed in financial crisis, scandals
- By: James Langton
- January 20, 2022 January 20, 2022
- 12:37
Ahead of rejig, OSC adds bench strength
Regulator adds six new commissioners, re-appoints three others
- By: James Langton
- January 19, 2022 January 19, 2022
- 16:02
CSA shines a light on greenwashing
Regulators issue ESG disclosure guidance for investment funds
- By: James Langton
- January 19, 2022 June 10, 2022
- 13:02
IOSCO, ISDA grapple with crypto’s emergence
Standards setters develop scaffolding for fledgling asset class
- By: James Langton
- January 18, 2022 January 18, 2022
- 16:38
U.K. targets false advertising in crypto space
As crypto ownership has grown, knowledge has dropped, government says
- By: James Langton
- January 18, 2022 January 18, 2022
- 12:57
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
- By: James Langton
- January 18, 2022 January 18, 2022
- 12:44
From influencers to confetti drops, investor protection threats evolve
International regulators are consulting on measures for overseeing an increasingly digitized retail investment business
- By: James Langton
- January 17, 2022 January 17, 2022
- 14:21
After escaping ASC sanctions, man faces new charges
Regulator alleges man violated trading, officer bans
- By: James Langton
- January 14, 2022 January 14, 2022
- 15:58
FSRA finalizes title regulation rules
Final rules sent to minister for approval; implementation remains uncertain
- By: James Langton
- January 14, 2022 January 14, 2022
- 13:09
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…
- By: The Associated Press
- January 14, 2022 January 14, 2022
- 12:51
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
- By: James Langton
- January 14, 2022 January 14, 2022
- 12:30