Latest news in From the Regulators

Block letters spelling fraud, with magnifying glass

U.S. to sell seized crypto for fraud victims

Court authorizes liquidation of crypto seized in US$2-billion BitConnect scheme

St. John's, capital of Newfoundland Labrador, NL, Canada, harbor and downtown seen from signal hill

Newfoundland is sixth province to give IIROC full enforcement toolkit

The regulator can now collect fines through the courts countrywide

  • By: IE Staff
  • November 17, 2021 November 17, 2021
  • 16:55
EU flags waving in front of European Parliament building. Brussels, Belgium

As pandemic fades, new risks take its place

The ECB has flagged inflation and valuation risks, plus credit and liquidity risks

natural environment

Basel Committee proposes guidance on climate risks

Regulators seek principles-based approach to supervising banks

SEC enforcement down again in 2021

Drop in public company cases follows turnover at the U.S. regulator, pandemic


Pension savings safe from regulator’s reach, court rules

The B.C. Court of Appeal found that pension rules prevent the BCSC from seizing life income funds

young client meeting with advisor

FSRA title regime to include “best interest” provision

The regulator is consulting on new title guidance until Dec. 13

rules and regulations

Combating threats in commodity derivatives

IOSCO is proposing revisions to 2011 oversight principles in that space

United States flag with Bitcoin cryptocurrency

SEC rejects Bitcoin ETF

Regulator continues to be concerned about market manipulation

virtual regulation

SEC finds pervasive problems at U.S. robos

The regulator's reviews uncovered deficiencies at most firms examined


Former fund industry exec convicted of fraud

Syndicated mortgage firms never invested clients' money, the court found

Modern office building close up in sunlight

Basel committee revises banks’ disclosure requirements

Updated rules for 2023 reflect latest market risk standards

Alberta flag in front of setting sun

ASC adopts small biz finder’s exemption

The new measure will facilitate capital raising for startups in Alberta

  • By: IE Staff
  • November 10, 2021 November 10, 2021
  • 16:38
3679756 - orange stock market world economy abstract background

Climate risk, crypto capital rules top Basel agenda

Global regulators to consult on supervisory principles

OSFI launches consultations on tech and cyber risk guidelines

Guidelines are meant to support banks and insurers in developing greater resiliency

Financial protection for the future, nest egg, retirement savings

Autopilot OK for DC plans, says FSRA

New guidance confirms that auto-enrolment mechanisms are permitted

Tackling the she-cession with financial literacy

New Brunswick regulator aims to address the particular financial challenges faced by women

Modern office building close up in sunlight

OSFI lets banks off capital leash

Curbs on dividends, buybacks were always intended to be temporary, OSFI says

old way, new way

New conduct rules, same old conflicts: NASAA

U.S. firms continue to put their own interests ahead of clients' interests, regulators say

Fraudsmen marry crypto scams with online dating, authorities warn

New tactics and techniques are used to identify and lure victims

Green landscape with sustainability symbols

IOSCO endorses new global ESG standards push

Global securities regulators are likely to move ahead with new standards in 2022

Sustainable world concept

FCA launches consultation on ESG labeling

Regulator aims to have rules for investment industry by Q2 2022

Abstract elegant background design

A call to arms on greenwashing

IOSCO makes recommendations to regulators on ESG issues

Paper family of four under a paper cutout insurance umbrella

MFDA funds investor legal aid clinic

The SRO is supporting Osgoode's investor service for two years

Skyline of the financial district

Banks may get the go-ahead to boost shareholder returns

OSFI set to announce capital distribution plans on Nov. 4