Bridging Finance investors face more than $1 billion in losses
PwC seeks court approval to abandon the firm's sale and continue liquidation
- By: James Langton
- February 22, 2022 March 29, 2022
- 15:25
Latest news in From the Regulators
U.S. interest rates should rise steadily from March: NY Fed president
John Williams, president of the Federal Reserve Bank of New York, sees no ‘compelling argument to take a big step at the beginning’ of steady…
- By: Stan Choe, The Associated Press
- February 18, 2022 February 18, 2022
- 15:01
CFR sweep to provide clarity to industry
Regulators will review "a sizable number" of firms, a panellist said at KYP webinar
- By: Michelle Schriver
- February 18, 2022 February 18, 2022
- 11:58
New guidance targets unfair incentive practices
CCIR-CISRO proposals aim to align incentive structures with fairness principles
- By: James Langton
- February 17, 2022 February 17, 2022
- 15:39
DIY investing propels complaints to record levels
Service issues overtook suitability as top concern, OBSI reports
- By: James Langton
- February 17, 2022 February 17, 2022
- 15:02
Return to normal may imperil financial stability, FSB warns
The combination of leverage with rising real estate and other asset valuations is a vulnerability
- By: James Langton
- February 17, 2022 February 17, 2022
- 14:01
MFDA fines and bans former rep for misappropriating funds
The representative also misled the dealer during an investigation
- By: James Langton
- February 17, 2022 February 17, 2022
- 09:28
ESMA aims to inoculate funds against liquidity issues
Pandemic-driven panic exposed money market funds' vulnerabilities
- By: James Langton
- February 16, 2022 February 16, 2022
- 15:57
Crypto could pose systemic risk, FSB warns
Policymakers advised to start considering measures before threat materializes
- By: James Langton
- February 16, 2022 February 16, 2022
- 15:43
Investment firms being swept into Emergency Act measures
Securities dealers, portfolio managers and investment counsellors are included in government efforts to cut off funding to protestors
- By: James Langton, The Canadian Press
- February 16, 2022 January 17, 2023
- 14:57
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
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