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
Latest news in From the Regulators
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
FSB tackles leverage in the shadow banks
Global policy group details recommendations for dealing with risks to financial stability
- By: James Langton
- July 9, 2025 July 9, 2025
- 16:00
U.S. brokerage business grows: FINRA
SRO data shows that aggregate industry profits, rep counts rise
- By: James Langton
- July 9, 2025 July 9, 2025
- 14:57
U.S. charges operators of global crypto scheme
Investors misled, lost US$650 million to purported trading venture
- By: James Langton
- July 9, 2025 July 9, 2025
- 14:52
Bank of England fines first infrastructure firm
Payments firm faces sanction over compliance, governance failings
- By: James Langton
- July 9, 2025 July 9, 2025
- 14:49
Bank reps under pressure to sell: OSC and CIRO
Research "showed a statistically significant association" between sales pressure and recommendations not in client interests
- By: James Langton
- July 9, 2025 July 9, 2025
- 09:00
Pressure on bank reps is nothing new
Reps' concerns have been documented for years in IE's Report Card research
- By: James Langton
- July 9, 2025 July 9, 2025
- 09:00
OSC consults on Indigenous reconciliation
Regulator releases draft action plan on its vision for more equitable capital markets
- By: James Langton
- July 8, 2025 July 8, 2025
- 15:48
ESMA plans its own emission cuts
Business travel, office energy consumption to be cut as regulator seeks to shrink its carbon footprint
- By: James Langton
- July 8, 2025 July 8, 2025
- 14:03
FCA sanctions fintech over anti-crime controls
Online bank had inadequate KYC, risk assessment during rapid growth
- By: James Langton
- July 8, 2025 July 8, 2025
- 13:55
Urgent action needed to prepare for quantum threat
Paper calls for central banks to lead preparations for looming security risk
- By: James Langton
- July 7, 2025 July 7, 2025
- 16:36
Former rep sanctioned for risky discretionary trading
Clients lost millions on futures trading that generated large commissions
- By: James Langton
- July 7, 2025 July 7, 2025
- 14:21
CIRO expands CDR, ETF trading halts
SRO to mimic U.S. regulatory halts for stock-tracking vehicles
- By: James Langton
- July 7, 2025 July 7, 2025
- 14:14
Ex-analyst gets jail in U.K. for insider trading
Scheme exploited information about companies picked up at fund management job
- By: James Langton
- July 4, 2025 July 4, 2025
- 16:43
OSFI aids insurers’ infrastructure investment
Cuts to insurers' capital requirements could boost investment capacity
- By: James Langton
- July 4, 2025 July 4, 2025
- 14:49
Crypto fraudsters get jail in U.K.
Pair sentenced in connection with a boiler room scheme
- By: James Langton
- July 4, 2025 July 4, 2025
- 14:13