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
Latest news in From the Regulators
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
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
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