Man charged for laundering US$300M in Bitcoin
The alleged money laundering service, Helix, served Darknet criminals
- By: James Langton
- February 13, 2020 February 13, 2020
- 16:43
Latest news in From the Regulators
Nasdaq CXC gains market share in Canada
Nasdaq moves ahead of TSX Venture Exchange
- By: James Langton
- February 13, 2020 February 13, 2020
- 14:13
CSA revises rule governing issuers’ alternative disclosure
Regulators say requirements will reduce burdens on issuers and investors
- By: James Langton
- February 13, 2020 February 13, 2020
- 12:52
“Fraudsman” sentenced to 12 years in $54-million Ponzi scheme
An Ontario court called the serial fraudster "incorrigible"
- By: James Langton
- February 12, 2020 February 12, 2020
- 15:41
Regulators grapple with crypto trading
An IOSCO report highlights crypto trading issues, but stops short of setting standards
- By: James Langton
- February 12, 2020 February 12, 2020
- 12:07
Transition risk is the main threat from climate change: OSFI
The economic impact of the transition to a low-carbon economy may be "sharply negative, at least for some time"
- By: James Langton
- February 11, 2020 February 11, 2020
- 16:21
Reports of senior financial abuse rising: NASAA
Regulators' efforts to prevent abuse are gaining traction
- By: James Langton
- February 11, 2020 February 11, 2020
- 14:29
Advice failures cost Aussie banks big
Big banks paying hundreds of millions in customer compensation
- By: James Langton
- February 11, 2020 February 11, 2020
- 12:26
CFA meets IIROC licensing standards
The designation qualifies as an alternative to the CSC
- By: James Langton
- February 11, 2020 February 7, 2020
- 09:00
Attempt to sue OSC an ‘abuse of process,’ court says
Court of Appeal upholds ruling dismissing lawsuit proposed by trust beneficiary
- By: James Langton
- February 10, 2020 February 10, 2020
- 15:07
AMF names mining sector advisory group
Investment industry reps, miners and consultants form committee
- By: James Langton
- February 10, 2020 February 10, 2020
- 10:37
U.S. court wants to hear from Madoff’s victims
Madoff's bid for early release may face a public hearing
- By: James Langton
- February 10, 2020 February 10, 2020
- 09:29
Future OSC chair ruled out of enforcement case
Vice-chair Grant Vingoe leaves a hearing panel to avoid a perception of bias when he becomes acting chair in April
- By: James Langton
- February 7, 2020 February 7, 2020
- 14:03
ESMA sets sustainability strategy
European regulator to factor ESG into both policy and oversight efforts
- By: James Langton
- February 6, 2020 February 6, 2020
- 15:00
Ontario launches overdue capital markets review
Soliman to lead first "five-year" review since 2003
- By: James Langton
- February 6, 2020 February 6, 2020
- 13:23
MX details compliance priorities
Direct access, client identifiers and AI top the list
- By: James Langton
- February 5, 2020 February 5, 2020
- 14:50
Coronavirus sparks outbreak of investment fraud: SEC
The U.S. watchdog warned against pump-and-dump schemes tied to global health emergencies
- By: James Langton
- February 5, 2020 February 5, 2020
- 11:58
European regulators to examine suitability issues
Review will examine implementation of MiFID II requirements
- By: James Langton
- February 5, 2020 February 5, 2020
- 11:39
Ex-Goldman banker banned by Fed
A third Goldman executive has been sanctioned for his role in the 1MDB scandal
- By: James Langton
- February 4, 2020 February 4, 2020
- 13:14
Shining a brighter light on equity trading
ESMA has launched a consultation on improving market transparency
- By: James Langton
- February 4, 2020 February 4, 2020
- 12:33
OSC names new SPAC members
The committee provides industry feedback on the regulator's in-house tribunal
- By: James Langton
- February 4, 2020 February 4, 2020
- 10:52
Updated: MFDA proposes SRO overhaul
A new paper envisions a single SRO, with the CSA taking responsibility for market regulation
- By: James Langton
- February 3, 2020 February 4, 2020
- 11:35
Ex-regulator admits to helping hide Ponzi scheme
The accused accepted Super Bowl tickets, other inducements to help thwart an SEC investigation
- By: James Langton
- January 31, 2020 January 31, 2020
- 16:54
Fraud victims may face scam reruns
Saskatchewan's regulator warns about fraudsters hitting targets repeatedly
- By: James Langton
- January 31, 2020 January 31, 2020
- 15:57