OSC rules IIROC can go ahead with online hearing
There is no evidence that video hearings are unfair, regulator rules
- By: James Langton
- March 18, 2021 March 18, 2021
- 16:55
Latest news in From the Regulators
Pump and dump ends in ban, over $1 million in penalties
ASC orders sanctions against two men for fraud scheme
- By: James Langton
- March 18, 2021 March 18, 2021
- 12:53
New CFTC unit to focus on climate risk
The regulator's initiative brings together expertise across the agency
- By: James Langton
- March 17, 2021 March 17, 2021
- 17:28
U.K. regulator to consider diversity requirements for public companies
In the financial sector, diversity helps firms respond to clients' needs, the Financial Conduct Authority said
- By: James Langton
- March 17, 2021 March 17, 2021
- 14:35
Risk of a market correction is high, regulators warn
The decoupling of financial markets from the economic recovery could spark a selloff, ESMA warns
- By: James Langton
- March 17, 2021 March 17, 2021
- 14:14
Ransomware attacks on the rise, IIROC warns
Prevention is the best approach to dealing with the issue, regulators say
- By: James Langton
- March 16, 2021 March 16, 2021
- 17:33
Fund rep fined, banned for misconduct
Panel sanctions rep for misappropriating client money and fabricating an account statement
- By: James Langton
- March 16, 2021 March 19, 2021
- 16:52
OSFI unwinds emergency pandemic relief measures
Temporary relief due to extreme volatility is no longer needed
- By: James Langton
- March 16, 2021 March 16, 2021
- 11:13
MFDA sees 18-month timeline to craft new SRO
The association delivered its proposed roadmap to inform a CSA decision due this summer
- By: James Langton
- March 16, 2021 March 16, 2021
- 11:04
SEC alleges trader used tweets to pump and dump stock
Twitter user faces an asset freeze and fraud allegations
- By: James Langton
- March 15, 2021 March 15, 2021
- 17:45
SEC calls for input on climate-risk disclosure
Voluntary disclosures from public companies aren't adequate, SEC acting chair Herren Lee says
- By: James Langton
- March 15, 2021 March 15, 2021
- 15:22
Stress testing for climate risks seen expanding worldwide: Fitch
Europe and U.K. are leading the way, while other major countries set to follow
- By: James Langton
- March 15, 2021 March 15, 2021
- 14:12
FINRA tackles the problem of repeat offenders
SRO adopts rule changes to enhance investor protection
- By: James Langton
- March 12, 2021 March 12, 2021
- 15:33
SEC examines rules for inter-fund trading
Requirements for fair trading between funds were first set in 1966
- By: James Langton
- March 12, 2021 March 12, 2021
- 13:41
Beware of celebrity-backed SPACs, SEC warns
Regulator warns about blank-cheque companies endorsed by athletes and actors
- By: James Langton
- March 12, 2021 March 12, 2021
- 13:25
OSFI seeks to finalize Basel III reforms
Regulator aims to enhance resilience, risk sensitivity of post-crisis rules
- By: James Langton
- March 11, 2021 March 11, 2021
- 14:38
FSRA updates guidance on syndicated mortgage investments
The revision aims to increase regulatory efficiency, the Ontario regulator said
- By: IE Staff
- March 10, 2021 March 10, 2021
- 16:40
SIFMA supports senior investor taskforce
Accurate data on the true cost of elder exploitation is needed, trade group says
- By: James Langton
- March 8, 2021 March 8, 2021
- 17:33
Yellen plays down inflation fears, pushes for relief bill
The treasury secretary pointed to low unemployment before the pandemic, which didn't lead to inflation
- By: Martin Crutsinger, The Associated Press
- March 8, 2021 March 8, 2021
- 13:39
McAfee founder in the “doge” house, charged with crypto fraud
Authorities allege Twitter was used to pump and dump crypto assets
- By: James Langton
- March 5, 2021 March 5, 2021
- 17:35
IOSCO, FSB to examine fund liquidity during Covid
The analysis will include a review of the availability and use of liquidity management tools
- By: James Langton
- March 5, 2021 March 5, 2021
- 13:28
Final bell tolls for LIBOR
Firms advised to ensure they're prepared for end-of-2021 transition
- By: James Langton
- March 5, 2021 March 5, 2021
- 13:16
The next step in sustainability: ESG enforcement
SEC launches task force to tackle misconduct involving ESG
- By: James Langton
- March 4, 2021 March 4, 2021
- 14:46
Swedish crypto fraudsman pleads guilty
The scammer took thousands of investors for millions of dollars, the DoJ says
- By: James Langton
- March 4, 2021 March 4, 2021
- 14:04
Why protecting repeat fraud victims is no easy task
New research proposes grassroots, disruptive tactics, as repeat victims tend to ignore traditional warnings
- By: James Langton
- March 4, 2021 March 4, 2021
- 13:46