Latest news in From the Regulators

Pile of cryptocurrency coins

U.S. court orders restitution for crypto Ponzi victims

Victims of global BitConnect scheme to recover US$17 million

gavel on a laptop

SEC steps up crypto crackdown

Crypto lending program amounted to an unregistered offering, regulator alleges

British Columbia provincial parliament building, Victoria, BC

BCSC settles insider trading allegations

Firm, director banned for three years, agree to pay $200,000

Businessman Blowing Whistle Isolated on White Background

SEC rewards one tipster, denies another

Earlier tip didn't prompt investigation or enforcement action, regulator rules

Justice scales and gavel by books

Tribunal sanctions trio in “moderately serious” fraud

Misconduct occurred as part of a legitimate business, not a scam, panel found

Canadian 100 Dollar banknotes being printed

BoC to lose billions over next few years, posing communications challenge: report

Settlement balances helped finance pandemic quantitative easing

Wood homes under construction

OSFI escalates fight against mortgage lending risk

Consultation considers array of tools to address rising debt service risks

man being rescued by lifeboat

FCA seeks to extend Covid-era consumer protections

New guidance encourages insurance industry to accommodate financially stressed clients

Financial stock exchange market display screen board on the street

Morgan Stanley sanctioned over MX algorithm access

Firm settled allegations that unapproved employees had access via trading algorithm


Crypto insider trading generates jail time

Man sentenced for trading ahead of listings on platform

senior man giving credit card details on the phone

FINRA flags rising risk of scams targeting seniors

Compliance exam report documents SRO's emerging and ongoing concerns

United States Federal Reserve System symbol

Powell: Fed has only narrow role to play on climate change

``We are not, and will not be, a 'climate policymaker,''' the Fed chair said at a conference


Nova Scotians warned about “pig-butchering” crypto scam that has cost victims $750K

Regulators in North America believe more than $1 billion has been lost to crypto scammers since 2021

Pile of cryptocurrency coins

U.S. regulators’ crypto warning to weigh on sector: Moody’s

Government-led digital money projects are more likely, report says

Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizing profits for large business organizations. (Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizin

SEC charges ex-McDonald’s CEO over firing disclosure

Regulator alleged investors weren't told the truth about CEO's dismissal

gavel on a laptop

NY AG sues former Celsius CEO

Crypto exec defrauded investors of billions, lawsuit alleges

Judge gavel, scales of justice and law books in court

SEC sanctions former fund manager over conflict

Ex-BlackRock portfolio manager sought help for daughter's acting career while investing in film industry

Business meeting concept illustration in an aerial view with people sitting around a conference table

As markets slump, prospectus reviews pick up

With filings slowing down, OSC promises faster turnaround times

Metal handcuffs placed over the word fraud

SEC charges recidivist with new alleged fraud

Scheme promised outsized returns from blockchain investment

Female tax inspector looking at corporate financial documents with magnifying glass

IIROC enforcement ended on a high as disciplinary activity rose in 2022

Fines levied against reps last year soared to $7.9 million from $938,000 in 2021

Brooklyn Bridge and the downtown Manhattan skyline in New York City

Coinbase in US$100 million settlement

Deal with New York regulator addresses crypto platform's compliance failings


CFO embezzled from SPACs: SEC, DoJ

Exec pleaded guilty to taking money to trade meme stocks and crypto

Wall street sign in New York with American flags and New York Stock Exchange background.

U.S. regulators highlight crypto concerns

Agencies flag "safety and soundness" risks from banks' crypto activities

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Court certifies advisor vacation pay class action against RBC

Lawsuit claims advisors' payouts didn't include mandated vacation pay

Grand opening, cutting red ribbon

No-name SRO takes flight

The new agency's leadership is dominated by former IIROC personnel