Trader sanctioned for retail wash trading
Scheme exploited trading fee models to collect rebates, SEC alleged
- By: James Langton
- July 21, 2025 July 21, 2025
- 16:11
Latest news in From the Regulators
CIRO publishes exam materials
SRO publishes syllabi, practice exams, ahead of shift to new proficiency model
- By: James Langton
- July 21, 2025 July 21, 2025
- 15:15
Business confidence subdued amid tariffs but ‘worst-case’ less likely: BoC survey
28% of firms surveyed in Q2 said they expect a recession
- By: Sammy Hudes, The Canadian Press
- July 21, 2025 July 21, 2025
- 11:21
Advisor defrauded ‘friends and family’ in fund
Private investment fund operated as a Ponzi scheme
- By: James Langton
- July 18, 2025 July 21, 2025
- 17:57
U.S. tech exec charged with fraud
Founder allegedly falsified financials, audits, cap tables, to dupe investors
- By: James Langton
- July 18, 2025 July 18, 2025
- 17:18
Trump signs new stablecoin regulations into law
GENIUS Act marks a turning point for crypto assets industry
- By: Seung Min Kim and Alan Suderman, The Associated Press
- July 18, 2025 July 18, 2025
- 17:05
Appeal sought in Bridging Finance case
Firm's former CEO, David Sharpe, seeks judicial review of tribunal's findings against him
- By: James Langton
- July 18, 2025 July 18, 2025
- 16:48
CSE proposes new acquisition approval process
Reform aims to close gap in disclosure for deals that don't currently need OK
- By: James Langton
- July 17, 2025 July 17, 2025
- 17:00
Ontario court rejects electronic will
Old document must prevail in case where man died before signing a new will
- By: James Langton
- July 17, 2025 July 17, 2025
- 14:19
WFE champions revival of public markets
Exchange association calls for effort to preserve the virtues of going public
- By: James Langton
- July 17, 2025 July 17, 2025
- 14:12
FCA seeks dispute resolution reforms
Improving handling of systemic issues aims to prevent delays in compensation, enhance industry certainty
- By: James Langton
- July 17, 2025 July 17, 2025
- 14:03
FCA sanctions Barclays’ anti-crime failings
Bank provided services to money launderers, regulator alleged
- By: James Langton
- July 16, 2025 July 16, 2025
- 14:51
Head of U.S. audit regulator steps down
After effort to kill the PCAOB in the budget bill fails, agency's chair to exit
- By: James Langton
- July 16, 2025 July 16, 2025
- 14:29
Court strikes personal claim over portfolio
Alleged damages were suffered by a family corporation, not in personal capacity, court finds
- By: James Langton
- July 16, 2025 July 16, 2025
- 09:28
Crypto sector in new EU regulator’s crosshairs
New anti-money laundering authority highlights risks posed by crypto
- By: James Langton
- July 15, 2025 July 15, 2025
- 16:31
FCA adopts reforms to boost capital raising
Measures cut prospectus requirements, speed IPOs, facilitate retail bond offerings
- By: James Langton
- July 15, 2025 July 15, 2025
- 14:43
CSA refines plan for binding authority at OBSI
Regulators set out proposed approach to oversight, external reviews
- By: James Langton
- July 15, 2025 July 17, 2025
- 11:00
CIRO determines cost for its new proficiency exams
The regulator says the new exam fees will lower the cost of licensing in Canada
- By: Noushin Ziafati
- July 14, 2025 July 14, 2025
- 17:39
ASC panel sanctions ex-rep, company
Regulator issues permanent ban in fraud, illegal distribution case
- By: James Langton
- July 14, 2025 July 14, 2025
- 14:10
Global climate action falters amid U.S. denial
FSB's latest report on climate risks fails to deliver regulatory action, advocacy group says
- By: James Langton
- July 14, 2025 July 14, 2025
- 14:01
‘Same risk, same regulation’ principle falls short
Paper argues that stablecoins need bespoke rules to address their novel risks
- By: James Langton
- July 11, 2025 July 11, 2025
- 14:18
Bridge loan business turned Ponzi scheme: SEC
Regulator alleges that alt lender began using investor money to pay returns
- By: James Langton
- July 11, 2025 July 11, 2025
- 14:08
Regulated crypto firms face ‘halo effect’ risk: ESMA
Investors could be confused by firms selling regulated and unregulated products side by side, regulators warn
- By: James Langton
- July 11, 2025 July 11, 2025
- 14:02
ESMA calls for stricter scrutiny of crypto firms
Regulators should resolve risks upfront before firms get authorization, it says
- By: James Langton
- July 10, 2025 July 10, 2025
- 15:42
CIRO tackles the dreaded account transfer problem
SRO proposes rule changes, calls for an industry-wide technological solution
- By: James Langton
- July 10, 2025 July 10, 2025
- 12:26