SEC faces backlash as it lays out regulatory agenda
Critics question plans to unwind Trump-era rules
- By: James Langton
- June 14, 2021 June 14, 2021
- 14:52
Critics question plans to unwind Trump-era rules
Escalating inflation has intensified pressure on the central bank
Ex-dentist engaged in escalating series of frauds, SEC alleges
Investor group calls for dramatic shift in approach to oversight
Regulator's priorities for 2021–2022 include curbing compliance costs and ethical AI
A consultation paper proposes a two-tier approach to banks' crypto exposures
The CSA said it expects timely and transparent disclosure of exchange and ATS glitches
A forensics team is seeking to recover thousands of emails that were allegedly sought out and "hard" deleted last year
The U.S. regulator will examine best execution, payment for order flow and other equities market issues
An investor group is asking the OSC and PwC to sell BFI and the firm's funds
A receiver has been appointed for Coinseed, which is facing allegations from U.S. authorities
The SRO has warned firms against using delay tactics when a client decides to move on
Basel Committee will hold public consultation on design of capital rules for crypto exposures
Two more foreign firms were charged with running an unregistered trading platform
Applications to join an advisory committee on market issues are due July 7
Rep fined $75,000, suspended for six months in settlement with regulators
A company sought to sue the regulator, alleging an investigation was conducted in bad faith
Suspicious activity reports involving Paul Manafort and Russia were sent to a reporter
An advisor was permanently banned after engaging in personal financial dealings with a client
The regulator extended a temporary regime for cryptos amid anti-money laundering troubles
Valuations are back above pre-pandemic levels in most segments, despite economic turmoil, meaning markets remain at risk
The regulator has adopted rule changes to end DSCs by June 2022
The proposal complements the guidance on fair treatment of customers
The board proposed targets for enhancing cross-border payments systems
Regulators warned of a rise in scams involving fraudsters posing as well-known financial firms