JP Morgan settles massive market manipulation case
Deal with regulators involves $920 million in sanctions and disgorgement
- By: James Langton
- September 29, 2020 September 29, 2020
- 13:56
Latest news in From the Regulators
OSC seeks small biz expertise
The committee will provide input on trends and policy impact on small firms
- By: James Langton
- September 29, 2020 September 29, 2020
- 13:26
With conduct rules looming, industry has work to do
CSA, SROs provide guidance on client-focused reforms requirements
- By: James Langton
- September 29, 2020 September 29, 2020
- 13:10
SEC rewards 100th tipster
Corporate outsider who alerted regulator to misconduct gets latest payout
- By: James Langton
- September 28, 2020 September 28, 2020
- 18:01
OSFI gearing up for a marathon recovery
The regulator is restarting policy work that was paused due to pandemic
- By: James Langton
- September 28, 2020 September 28, 2020
- 17:08
CFTC sues offshore crypto platform
U.S. regulator alleges the firm engaged in unregistered trading of digital, physical assets
- By: James Langton
- September 28, 2020 September 28, 2020
- 13:36
Financial stability risks remain, as Covid-19 returns
Rising infection rates and evolving government responses stoke uncertainty
- By: James Langton
- September 25, 2020 September 25, 2020
- 14:36
FSRA to examine seg funds, MGA channel
The regulator is launching a pair of advisory committees to inform policy-making
- By: James Langton
- September 25, 2020 September 25, 2020
- 13:32
CFTC, states allege massive fraud duped seniors
U.S. regulators bring landmark joint enforcement action
- By: James Langton
- September 25, 2020 September 25, 2020
- 11:56
FSRA consultation on service standards begins
The comment period closes on Oct. 23
- September 25, 2020 September 25, 2020
- 11:15
Panama Papers accountant gets three-year jail term
Charges stem from scheme to help clients evade U.S. taxes with offshore shells
- By: James Langton
- September 24, 2020 September 24, 2020
- 16:38
Quebec privacy bill gets pushback from IIAC
Industry group argues aspects of bill unworkable, unrealistic
- By: James Langton
- September 24, 2020 September 24, 2020
- 14:53
Standardizing banks’ ESG disclosure
Regulator's review to lead to more consistent disclosure, Moody's says
- By: James Langton
- September 24, 2020 September 24, 2020
- 13:56
State regulators step up enforcement
NASAA reports rise in regulatory investigations, actions
- By: James Langton
- September 23, 2020 September 23, 2020
- 17:21
SEC preserves enforcement bounty program
The U.S. regulator backs down from major changes to whistleblower rules
- By: James Langton
- September 23, 2020 September 23, 2020
- 15:12
IIROC chooses 2020-21 board members
Board has three new members
- By: IE Staff
- September 23, 2020 September 23, 2020
- 14:48
Canadians charged in alleged U.S. pump-and-dump bust
The trio faces criminal charges and SEC allegations
- By: James Langton
- September 23, 2020 September 23, 2020
- 12:19
Reunited — and it feels so good
FCNB consults on program to return lost money to rightful owners
- By: James Langton
- September 23, 2020 September 23, 2020
- 11:25
FCA consults on rules for foreign firms
Regulator preparing for influx of international registrations following Brexit
- By: James Langton
- September 23, 2020 September 23, 2020
- 11:14
U.S. industry calls for shift to digital disclosure
SIFMA leads push to make electronic communications standard
- By: James Langton
- September 22, 2020 September 22, 2020
- 17:29
Will best interest standards work?
NASAA launches initiative to assess effects of new SEC conduct rules
- By: James Langton
- September 22, 2020 September 22, 2020
- 15:21
Failing financial literacy may be an early warning sign of cognitive decline
Research finds links between financial knowledge, confidence and mental acuity
- By: James Langton
- September 22, 2020 September 22, 2020
- 13:29
Risk, uncertainty and tough conditions ahead
Risk assessment from European regulators warns of array of challenges facing financial sector
- By: James Langton
- September 22, 2020 September 22, 2020
- 13:01
Index manager charged with insider trading
Index additions and deletions underpinned the alleged scheme
- By: James Langton
- September 21, 2020 September 21, 2020
- 16:56
Ontario provides DB pension relief
Companies can take a six-month contribution holiday to ease cash flow pressure due to Covid-19
- By: James Langton
- September 21, 2020 September 21, 2020
- 15:05