New York attorney general secures receiver for crypto firm
A receiver has been appointed for Coinseed, which is facing allegations from U.S. authorities
- By: James Langton
- June 8, 2021 June 8, 2021
- 12:59
Latest news in From the Regulators
MFDA seeks to speed up account transfers
The SRO has warned firms against using delay tactics when a client decides to move on
- By: James Langton
- June 8, 2021 June 8, 2021
- 12:49
How should banks allocate capital for crypto?
Basel Committee will hold public consultation on design of capital rules for crypto exposures
- By: James Langton
- June 7, 2021 June 7, 2021
- 16:13
OSC steps up crypto enforcement
Two more foreign firms were charged with running an unregistered trading platform
- By: James Langton
- June 7, 2021 June 7, 2021
- 13:49
OSC seeks market structure expertise
Applications to join an advisory committee on market issues are due July 7
- By: James Langton
- June 7, 2021 June 7, 2021
- 13:38
IIROC sanctions rep over undisclosed real estate dealings
Rep fined $75,000, suspended for six months in settlement with regulators
- By: James Langton
- June 4, 2021 June 4, 2021
- 16:48
Court dismisses suit against BCSC
A company sought to sue the regulator, alleging an investigation was conducted in bad faith
- By: James Langton
- June 4, 2021 June 4, 2021
- 13:17
U.S. Treasury official jailed for leaking banks’ SARs
Suspicious activity reports involving Paul Manafort and Russia were sent to a reporter
- By: James Langton
- June 4, 2021 June 4, 2021
- 13:11
Ex-fund rep sanctioned over dealings with dad
An advisor was permanently banned after engaging in personal financial dealings with a client
- By: James Langton
- June 3, 2021 June 3, 2021
- 16:49
Registration proves elusive for crypto firms: FCA
The regulator extended a temporary regime for cryptos amid anti-money laundering troubles
- By: James Langton
- June 3, 2021 June 3, 2021
- 14:02
The risk of a sudden, severe correction remains: ESMA
Valuations are back above pre-pandemic levels in most segments, despite economic turmoil, meaning markets remain at risk
- By: James Langton
- June 3, 2021 June 3, 2021
- 13:01
OSC finalizes DSC ban
The regulator has adopted rule changes to end DSCs by June 2022
- By: James Langton
- June 3, 2021 June 3, 2021
- 12:27
Insurance regulators consult on conduct principles
The proposal complements the guidance on fair treatment of customers
- By: IE Staff
- June 2, 2021 June 2, 2021
- 13:06
FSB seeks faster, cheaper global payments
The board proposed targets for enhancing cross-border payments systems
- By: James Langton
- May 31, 2021 May 31, 2021
- 13:56
Imposters among us, CSA warns
Regulators warned of a rise in scams involving fraudsters posing as well-known financial firms
- By: James Langton
- May 31, 2021 May 31, 2021
- 13:51
SEC charges five in US$2-billion crypto trading scheme
Promoters allegedly used YouTube videos to pitch investors on Bitcoin trading vehicle, the regulator said
- By: James Langton
- May 28, 2021 May 28, 2021
- 16:27
FSRA to hold webinar on new title regime
The event forms part of the consultation on the revised proposal for regulating advisor titles
- By: James Langton
- May 28, 2021 May 28, 2021
- 16:07
When does poor service become a regulatory issue for online brokerages?
IIROC also is looking at retail complaints and disgorgement, among other SRO priorities
- By: James Langton
- May 28, 2021 May 28, 2021
- 14:40
Swiss bank settles with U.S. authorities in FIFA bribery case
Julius Baer to pay US$79 million to resolve money laundering charge
- By: James Langton
- May 27, 2021 May 27, 2021
- 17:35
Don’t believe the hype: BCSC proposes new rules for stock promoters
Under the proposed rules, everything from TikToks to Insta posts would have to disclose details of promotional activity
- By: James Langton
- May 27, 2021 May 27, 2021
- 13:20
CSA sets rules on non-GAAP financial reporting
The final rules will take effect Aug. 25 and apply to financial year-ends after Oct. 15
- By: James Langton
- May 27, 2021 May 27, 2021
- 12:58
Montreal Exchange proposes rulebook reforms
Proposals include stiffer fines, along with measures to modernize oversight requirements
- By: James Langton
- May 25, 2021 May 25, 2021
- 18:02
IOSCO examines conflicts in debt markets
Regulators looking for conflicts in leveraged loan and CLO markets
- By: James Langton
- May 25, 2021 May 25, 2021
- 15:45
ESMA launches digital finance consultation
Regulator examines the new and added risks posed by tech-focused innovation in the financial sector
- By: James Langton
- May 25, 2021 May 25, 2021
- 12:55