Broker sanctioned over meme stock misdirection
Firm deceived investors about trading halt, SEC alleges
- By: James Langton
- May 25, 2022 May 25, 2022
- 13:58
Latest news in From the Regulators
Decoding ESG funds’ mysterious outperformance
Portfolio composition explains some but not all of ESG funds' advantages, ESMA finds
- By: James Langton
- May 24, 2022 May 24, 2022
- 16:14
Early climate action the cheaper option for banks
Tough U.K. stress test finds financial costs rise as climate action is delayed
- By: James Langton
- May 24, 2022 May 24, 2022
- 16:04
SEC sanctions mutual fund greenwashing
Fund manager pays US$1.5 million to settle allegations involving ESG disclosure
- By: James Langton
- May 24, 2022 May 24, 2022
- 14:19
U.K. regulators ponder post-pandemic reforms for money markets
The FCA is seeking changes to address liquidity concerns revealed in March 2020
- By: James Langton
- May 24, 2022 May 24, 2022
- 13:28
NASAA targets deadbeat brokers
Model rule, if implemented by regulators, would add enforcement teeth to arb awards, sanctions
- By: James Langton
- May 20, 2022 May 20, 2022
- 14:54
G7 gives thumbs up to ISSB disclosure standards plan
Pursuit of global climate standards needs industry, policymaker participation
- By: James Langton
- May 20, 2022 May 20, 2022
- 13:34
Former rep fined, banned for misappropriated client money
MFDA alleged over $300,000 was taken through early GIC redemptions, withdrawals
- By: James Langton
- May 19, 2022 May 19, 2022
- 16:20
Spotting the next Archegos before it blows up
ESMA review finds clues to growing risk, says work needed to improve oversight
- By: James Langton
- May 18, 2022 May 18, 2022
- 14:56
Allianz Global pays US$6 billion to resolve fraud charges
Fund managers hid risk of complex trading strategy that blew up in March 2020
- By: James Langton
- May 17, 2022 May 17, 2022
- 14:56
Regulators greenlight CDOR benchmark reform
Industry to scrap the Canadian dollar offered rate by mid-2024
- By: James Langton
- May 17, 2022 May 17, 2022
- 14:52
As Russian invasion drags on, investor protection worries linger
European regulators set expectations for investment funds and issuers amid the conflict
- By: James Langton
- May 16, 2022 May 16, 2022
- 14:55
Private equity fund CEO gets jail for fraud
Scheme secured US$133 million in loans based on forged documents
- By: James Langton
- May 13, 2022 May 13, 2022
- 15:59
Cloud outsourcing poses systemic risk
ESMA paper says policy action may be needed to ensure resilience
- By: James Langton
- May 12, 2022 May 12, 2022
- 13:45
CSA unveils new SRO’s board
The Canadian Securities Administrators say the new SRO's CEO will be named in the coming weeks
- By: James Langton
- May 12, 2022 May 12, 2022
- 08:56
UBS settles with MX
Firm settled allegations involving unapproved electronic access
- By: James Langton
- May 11, 2022 May 11, 2022
- 16:05
Former Fortune head gets jail time
David Singh was sentenced to three and a half years in jail and ordered to pay $4.8 million in restitution
- By: James Langton
- May 11, 2022 May 11, 2022
- 14:18
Automated disclosure fails retail investors, Europe’s regulators say
Recommendations aim to address poor practices in investment product disclosure
- By: James Langton
- May 10, 2022 May 10, 2022
- 13:45
Inflation, Ukraine overtake Covid as biggest threats to financial system, Fed says
The observations came in the Fed's semiannual Financial Stability Report
- By: Ken Sweet
- May 9, 2022 May 9, 2022
- 17:31
Ontario court allows proposed class action over bank fee disclosure to proceed
Plaintiff brought case on behalf of TD Bank clients who were charged multiple NSF fees in connection with a single transaction
- By: James Langton
- May 9, 2022 May 9, 2022
- 17:02
SEC extends climate disclosure consultation
Proposed climate standards will get more time for comment
- By: James Langton
- May 9, 2022 May 9, 2022
- 14:11
SEC: Nvidia failed to disclose crypto as revenue generator
The firm will pay a US$5.5-million penalty but did not admit or deny the SEC's findings
- By: The Associated Press
- May 6, 2022 May 9, 2022
- 15:54
They promised crypto profits but bought Lambos instead: SEC
Global crypto mining and trading scheme was a sham, U.S. authorities allege
- By: James Langton
- May 6, 2022 May 6, 2022
- 15:16
BitMEX co-founders sanctioned by CFTC
Trio failed to implement controls to prevent violations of derivatives, money laundering rules
- By: James Langton
- May 6, 2022 May 6, 2022
- 13:34
Screen-sharing scams surge, U.K. regulator says
Investors are getting duped into enabling remote access for fraudsters
- By: James Langton
- May 5, 2022 May 5, 2022
- 15:50