CFTC pays record award for fruitful tip
The payout was the U.S. regulator's first for action involving foreign enforcement
- By: James Langton
- October 21, 2021 October 21, 2021
- 14:16
Latest news in From the Regulators
Ontario set to release fall economic statement in early November
The recent throne speech said recovery from the pandemic will be fuelled by growth, not spending cuts or tax hikes
- By: The Canadian Press
- October 20, 2021 October 20, 2021
- 15:31
Amid increasing cyber threats, reporting needs an overhaul: FSB
Group calls for harmonized incident reporting to counter rising risk
- By: James Langton
- October 19, 2021 October 19, 2021
- 14:02
SEC examines “meme” stock phenomenon
A report highlights possible reforms to address issues uncovered in volatile trading
- By: James Langton
- October 18, 2021 October 18, 2021
- 17:39
Crypto lending targeted by N.Y.’s attorney general
The state invoked investor protection law to shutter unregistered platforms
- By: James Langton
- October 18, 2021 October 18, 2021
- 15:46
CSA to mandate issuers’ climate change disclosure
The proposals, which are largely in line with TCFD recommendations, won't take effect before the end of 2022
- By: James Langton
- October 18, 2021 October 18, 2021
- 11:01
CFTC sanctions Tether, Bitfinex
The sanctions between the two total US$42.5 million, to settle the U.S. regulator's allegations
- By: James Langton
- October 15, 2021 October 15, 2021
- 13:13
Post-crisis reforms helped banks ride out pandemic
Basel III implementation made progress despite extreme market turmoil
- By: James Langton
- October 14, 2021 October 15, 2021
- 15:13
Investors duped in RSP unlocking scheme, OSC alleges
The accused allegedly diverted investors' funds for personal use
- By: James Langton
- October 14, 2021 October 14, 2021
- 08:23
Ex-rep sanctioned over payments to unhappy clients
IIROC panel found rep secretly compensated clients, misled investigators
- By: James Langton
- October 13, 2021 October 13, 2021
- 17:52
U.S. exec pleads guilty in Canadian accounting fraud
Perpetrator of Poseidon Concepts Corp. scheme pleads to U.S. criminal charges
- By: James Langton
- October 13, 2021 October 13, 2021
- 16:10
FSB seeks practical progress on cross-border payments
Group sets targets for improving cost, speed, transparency
- By: James Langton
- October 13, 2021 October 13, 2021
- 15:54
Testing, testing: Is this innovation on?
The OSC is launching a new initiative to allow experimentation for novel ideas
- By: James Langton
- October 13, 2021 October 13, 2021
- 15:05
Ontario releases new proposed securities law for comment
The new Capital Markets Act adopts numerous task force reform ideas
- By: James Langton
- October 12, 2021 October 12, 2021
- 18:01
Prospective suitors emerge for Bridging Finance
The firm has five "primary" bidders, with six others targeting certain loans
- By: James Langton
- October 12, 2021 December 23, 2021
- 17:25
Global regulators take another crack at shoring up money market funds
FSB proposals aim to address weaknesses revealed by extreme market stress
- By: James Langton
- October 12, 2021 October 12, 2021
- 15:08
For banks, governance risks remain key: Fitch
NatWest's criminal charges for AML violations highlight the issue
- By: James Langton
- October 8, 2021 October 8, 2021
- 14:22
FSRA consults on proposed priorities
Total cost reporting for seg funds as well as title regulation are on the docket for fiscal 2022–23
- By: IE Staff
- October 8, 2021 October 8, 2021
- 13:52
Brokers must prepare to beef up AML controls: FINRA
U.S. firms' compliance and surveillance programs need review, the SRO says
- By: James Langton
- October 8, 2021 October 8, 2021
- 13:07
Faulty legal advice proves costly for unregistered fund manager
In a settlement with the OSC, he agreed to pay $1.7 million for operating a successful investment club without registration
- By: James Langton
- October 7, 2021 October 7, 2021
- 16:57
CSA lightens the load on investment funds
Reforms will take effect in 2022, and regulators promise more to come
- By: James Langton
- October 7, 2021 October 7, 2021
- 13:45
Rep fined after OSC rules that regulatory panel erred
The commission ordered sanctions against a former MFDA representative who misappropriated client money
- By: James Langton
- October 7, 2021 October 7, 2021
- 09:24
Regulators prepare to supervise stablecoins
IOSCO, CPMI propose guidance for overseeing systemic stablecoin arrangements
- By: James Langton
- October 6, 2021 October 6, 2021
- 14:28
MFDA sanctions rep for moonlighting in real estate
Compliance review uncovered rep's secret sideline
- By: James Langton
- October 5, 2021 October 6, 2021
- 17:30
Canadian shell used to dupe investors, U.S. authorities allege
SEC, DoJ allege investor misrepresentation, misappropriation
- By: James Langton
- October 5, 2021 October 5, 2021
- 17:22