TheBull sold inside info on the dark web, U.S. authorities allege
Man charged for allegedly selling brokerage data, unreleased earnings info in shadowy online markets
- By: James Langton
- July 9, 2021 July 9, 2021
- 16:16
Latest news in From the Regulators
Trio traded ahead of a company’s pivot to blockchain, SEC alleges
The regulator says insider trading was conducted before Long Island Iced Tea Co.'s conversion to a crypto company
- By: James Langton
- July 9, 2021 July 9, 2021
- 14:49
FINRA seeks insight on brokers’ crypto dealings
Firms are being asked to keep the SRO informed of plans involving digital assets
- By: James Langton
- July 9, 2021 July 9, 2021
- 13:31
Cooperation needed for cross-border CBDCs
Central bank crypto offers a fresh start on designing efficient payments systems
- By: James Langton
- July 9, 2021 July 9, 2021
- 13:31
OSC levels fraud charges against pot company CEO
The regulator alleges investor funds were diverted for personal use
- By: James Langton
- July 9, 2021 July 9, 2021
- 13:12
Proposed investor settlement reached in PACE case
The proposed $40-million deal requires approval at a July 30 court hearing
- By: James Langton
- July 9, 2021 July 9, 2021
- 09:02
Crypto fraudsman gets U.S. jail time
Online scheme took over US$16 million from investors in 45 countries
- By: James Langton
- July 8, 2021 July 8, 2021
- 17:28
OSC settles with offshore CFD platform
After a warning from regulators in Australia, the platform allegedly shifted investors to its Cayman Islands affiliate
- By: James Langton
- July 8, 2021 July 8, 2021
- 14:57
IIROC fines former advisor $150K for excessive trading, client borrowing
Misguided faith in tactical trading strategy led to the violations
- By: James Langton
- July 8, 2021 July 8, 2021
- 14:44
Fund rep sanctioned over fake account scheme
The former mutual fund representative opened fake accounts to score new client bonuses from TD Bank
- By: James Langton
- July 7, 2021 July 7, 2021
- 17:14
Regulators get serious about financial sector diversity
The CSA will hold consultations on enhancing diversity while the U.K. considers targets, pay links and enforcement
- By: James Langton
- July 7, 2021 July 7, 2021
- 14:53
Addressing climate risks in the financial sector requires coordinated effort: FSB
The global policy group is calling for greater coordination to enhance environmental risk disclosure
- By: James Langton
- July 7, 2021 July 7, 2021
- 14:03
Pay equity law to come into effect Aug. 31
The legislation is meant to help women get fair compensation from federally regulated employers
- By: Tara Deschamps, The Canadian Press
- July 7, 2021 July 7, 2021
- 13:43
When Covid-19 hit, the Basel III reforms paid off
Measures to boost banks' capital levels helped cushion the fallout from the pandemic
- By: James Langton
- July 6, 2021 July 6, 2021
- 15:50
As fund firms give themselves top marks, regulators cringe
An FCA review has found fund managers' self-assessments are sadly lacking
- By: James Langton
- July 6, 2021 July 6, 2021
- 15:15
FCA ponders dual-class shares in bid to boost listings
The regulator has proposed a set of reforms to enhance the appeal of going public
- By: James Langton
- July 6, 2021 July 6, 2021
- 14:58
The calm before the enforcement storm?
With complaints on the rise, disciplinary activity slowed in fiscal 2021, IIROC reports
- By: James Langton
- July 6, 2021 July 6, 2021
- 14:42
OSFI consults on capital rules for crypto
The federal regulator is seeking feedback on the design of a prudential regime for digital assets
- By: James Langton
- July 5, 2021 July 5, 2021
- 16:24
IOSCO names new head
The regulator faces a long list of challenges ahead, including environmental and systemic risks
- By: James Langton
- July 5, 2021 July 5, 2021
- 12:15
Lack of NAV to leave Bridging Finance investors with hole in portfolios — for now
Some investors may see a zero on their June 30 statements
- By: James Langton
- June 30, 2021 December 23, 2021
- 17:30
Regulators’ new challenge: educating rookie investors
FINRA seeks input on reaching meme stock traders and other novices
- By: James Langton
- June 30, 2021 June 30, 2021
- 16:31
Aussies look to follow Canada’s lead on crypto funds
Australian regulators launch consultation on regulated crypto investment products
- By: James Langton
- June 30, 2021 June 30, 2021
- 15:49
Time to tackle fund industry greenwashing: IOSCO
Proposals aim to combat investor protection issues arising in ESG investing
- By: James Langton
- June 30, 2021 June 30, 2021
- 15:33
FSB consults on post-pandemic reforms
Proposals aim to address vulnerabilities revealed in the money market sector in March 2020
- By: James Langton
- June 30, 2021 June 30, 2021
- 15:23
Ontario court rejects proposed class action against cannabis company
Stock price declines were attributable to Covid-19, not accounting errors
- By: James Langton
- June 30, 2021 June 30, 2021
- 15:14