Bridging managed funds as one big pool, court filings allege
Receiver argues that institutional investors' consolidation motion is premature
- By: James Langton
- May 9, 2023 May 9, 2023
- 15:48
Receiver argues that institutional investors' consolidation motion is premature
Record-setting payout follows tip that caused regulator to widen ongoing investigation, prompted action from a second federal agency
Some fees reduced to reflect existing OSC oversight of new SRO
Standards setter seeks input on what to tackle after climate reporting
ASC, OSC give firms deadline extension on derivatives data reporting
Rules aim to enhance systemic risk oversight and investor protection
Investors to get more detailed disclosure of issuers' repurchase activity
Investors argue it would be unfair for them to subsidize other victims
U.K. regulator curbs investor protections to attract issuers, placate bankers
OSC sought to extend order until enforcement proceedings complete
Firms with history of misconduct identified on BrokerCheck system
Almost half of high-risk agent reviews found best-practice failures
The proposal appears to acknowledge the FDIC is looking for ways to calm depositors and markets
Officials want to see inflation decline consistently before considering major policy shifts
Former CFO embezzled US$5 million to trade meme stocks, crypto
U.S. court orders US$3.4 billion in penalties and restitution in global forex fraud
Regulator will issue penalties, without hearings, for minor rule violations
Institutional investors seek distribution from failed fund manager
The CRA says tax returns filed digitally will largely be processed automatically ``without delay"
Adoption of the new financial benchmark well underway
Consultation on new assurance standards to start in summer and be ready for 2024
Firms will have until Dec. 31, 2024, to adopt the name and logo on required disclosures
Regulator's new guidance to take effect in May 2024
Changes to dealer rules, trading rules aim to facilitate shorter settlement cycle