S&P sanctioned over index snafu
The SEC alleged an undisclosed control feature led to stale index reporting
- By: James Langton
- May 17, 2021 May 17, 2021
- 13:12
Latest news in From the Regulators
Standards setting for accounting, auditing facing review
An independent committee will make recommendations to ensure independence and integrity of process
- By: James Langton
- May 14, 2021 May 14, 2021
- 16:03
Swiss insurer admits to enabling U.S. tax evasion
Company viewed increased U.S. enforcement against banks as a business opportunity, the DoJ said
- By: James Langton
- May 14, 2021 May 14, 2021
- 13:38
ASC sanctions violation of cease trade order
A hearing panel ordered a fine, costs and a market ban, but not disgorgement
- By: James Langton
- May 14, 2021 May 14, 2021
- 12:50
FCA seeks consumer duty standards
Citing continued consumer harm and a lack of trust, regulator plans tougher consumer protection requirements
- By: James Langton
- May 14, 2021 May 14, 2021
- 11:28
IIROC drops expanded OBSI reporting proposal
Reporting changes will be rolled into a bigger project on complaints, investigations
- By: James Langton
- May 13, 2021 May 13, 2021
- 14:51
Steer clear of confused crypto platform: FCAA
The firm claims to be licensed by a regulator that doesn't exist
- By: James Langton
- May 13, 2021 May 13, 2021
- 12:22
As investors go online, criminals follow
Account takeover attempts are on the rise, FINRA warns
- By: James Langton
- May 12, 2021 May 12, 2021
- 16:41
SEC worries about Bitcoin mutual funds, ETFs
In a staff statement, the regulator stressed its concerns about liquidity, valuation, fraud and manipulation
- By: James Langton
- May 12, 2021 May 12, 2021
- 14:20
MFDA fines and bans former rep for misconduct
Improper personal financial dealings and a failure to cooperate led to the sanctions
- By: James Langton
- May 12, 2021 May 12, 2021
- 12:56
FSRA reviews 57 life agent reporting forms
About 40% were escalated for further investigation
- By: Michelle Schriver
- May 11, 2021 May 11, 2021
- 13:59
OSFI seeks to step up sector’s cyber resilience
Regulator lays out plans to enhance guidance to address evolving technology risks
- By: James Langton
- May 10, 2021 May 10, 2021
- 16:37
IOSCO sees support for mandatory global green reporting
Amid concerns about greenwashing, regulators push for global sustainability standards
- By: James Langton
- May 10, 2021 May 10, 2021
- 15:16
U.S. hedge fund manager gets jail in bid rigging case
Fund manager sought to influence bidding in Neiman Marcus bankruptcy
- By: James Langton
- May 7, 2021 May 7, 2021
- 16:27
OSC seeks to extend cease trade in BFI case
The regulator has asked for extension to Aug. 12 while its investigation continues
- By: James Langton
- May 7, 2021 December 23, 2021
- 16:09
Regulators aim to root out pandemic-driven liquidity issues
New regulatory research will feed into reforms to shadow banking oversight
- By: James Langton
- May 6, 2021 May 6, 2021
- 15:38
IAP to focus on SROs, taskforce in 2021
The OSC advisory group is facing a long list of investor issues
- By: James Langton
- May 6, 2021 May 6, 2021
- 15:23
IIROC seeks design advice for new investor group
Investor advisory panel would provide feedback on regulatory policy issues and initiatives
- By: James Langton
- May 3, 2021 May 3, 2021
- 15:10
Court appoints receiver for finance firm
The OSC took action amid an ongoing investigation into potential conflicts and misconduct
- By: James Langton
- May 3, 2021 December 23, 2021
- 13:13
Singapore’s financial regulator invests in innovation
The MAS committed $42 million to finance regtech and the shift to digital
- By: James Langton
- April 30, 2021 April 30, 2021
- 13:49
FCA seeks to spark SPACs
The new FCA consultation aims to encourage SPACs with added investor protections
- By: James Langton
- April 30, 2021 April 30, 2021
- 12:00
SEC kicks decision on Bitcoin ETF down the road
U.S. regulators will take another 45 days to consider a crypto fund proposal
- By: James Langton
- April 29, 2021 May 11, 2021
- 16:35
SRO asks whether rules create barriers to diversity
FINRA said it wants feedback on how its regulations and processes affect industry inclusion
- By: James Langton
- April 29, 2021 April 29, 2021
- 13:21
BCSC sanctions blockchain developer
An individual was banned from working in the securities industry for 10 years after admitting that investor money went for personal use
- By: James Langton
- April 29, 2021 April 29, 2021
- 12:29
CSA adopts benchmark oversight regime
Regulators to designate CDOR as the only regulated financial benchmark in Canada
- By: James Langton
- April 29, 2021 April 29, 2021
- 12:00