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
Latest news in From the Regulators
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
Four tipsters, but just two awards
Two tipsters are sharing a US$5-million SEC payout involving foreign misconduct
- By: James Langton
- March 4, 2021 March 4, 2021
- 13:33
U.K. reviews its listing regime
Recommended reforms aim to reverse a decline in public listings
- By: James Langton
- March 3, 2021 March 3, 2021
- 17:18
Pandemic, social media are a fraudsman’s best friends
NASAA survey of regulators' enforcement teams identifies top threats to investors
- By: James Langton
- March 3, 2021 March 3, 2021
- 16:00
Canadian shell fell into alleged fraudsman’s hands, SEC charges
Regulator says US$45-million fraud followed an alleged secret takeover of a company
- By: James Langton
- March 2, 2021 March 2, 2021
- 13:09
New York attorney general warns of “extreme” crypto risks
Brokers, advisors could face civil and criminal liability for misconduct, alert warns
- By: James Langton
- March 1, 2021 March 1, 2021
- 16:09
SEC suspends 15 stocks, citing social media hype
Regulator concerned that investors may be duped by efforts to pump dormant stocks
- By: James Langton
- February 26, 2021 February 26, 2021
- 16:27
Retail investor risks headline IOSCO agenda
Pandemic effects intensify investor hazards such as fraud, misconduct
- By: James Langton
- February 26, 2021 February 26, 2021
- 16:02
OSC adds three to IAP
Investor legal aid clinics supplied two new members to the advocacy group
- By: James Langton
- February 26, 2021 February 26, 2021
- 11:57
OSC provides disclosure exemption for global private placements
The exemption is one of the 74 Capital Markets Modernization Taskforce recommendations
- By: James Langton
- February 25, 2021 February 25, 2021
- 17:24
Ex-regulator gets 10 years for aiding fraudsman
Antiguan authority admitted obstructing SEC investigation into Stanford scheme
- By: James Langton
- February 25, 2021 February 25, 2021
- 15:16
IIROC seeks to set margin rules for PPNs
Proposal would set 70% margin rate for structured products
- By: James Langton
- February 25, 2021 February 25, 2021
- 14:33