Regulators seek radical transparency for fund fees
CSA, CCIR propose new cost reporting requirements for investment and seg funds
- By: James Langton
- April 28, 2022 April 28, 2022
- 13:44
CSA, CCIR propose new cost reporting requirements for investment and seg funds
ASC banned convicted forex fraudster earlier this year
FINTRAC says platforms must register, comply with anti-money laundering regulations
Hwang owned a New York–based hedge fund that collapsed when it defaulted on margin calls
BCSC compliance reviews find CRM2 failings alongside registration and marketing gaffes
Advisor titles remain a concern for provincial securities authorities
FSRA strikes deal for core assets of troubled firm
Crime controls, client checks deficient at "challenger" banks, the British bank regulator warns
Cyberattacks, cryptoassets, housing and corporate debt are among the critical issues addressed
The Ontario regulator provided implementation details on title protection
B.C. Supreme Court rejects challenge to trustees' solvency fix
Sales practices, supervisory issues dog alt fund sales, says the United States Financial Industry Regulatory Authority
British public companies would have to "comply or explain" under proposed gender, ethnicity goals
Long-running series of pump and dumps targeted retail investors, U.S. authorities allege
Ontario judge sides with MFDA in attempt to collect sanctions
Scheme to trade ahead of client orders generated US$8.5 million in illicit gains
Broker admitted to violating IIROC rules in connection with an undisclosed payment
The economic consequences of Russia's invasion of Ukraine is aggravating an array of existing risks, the ESMA, EBA and EIOPA warn in a joint report
Regulator must provide evidence of likely penalty before granting asset preservation orders
Firm, directors settled allegations of securities violations
U.S. federal jury finds ex-banker guilty on corruption, money laundering charges
Proposed regime would apply to prospectuses and financials but not proxies
The investment dealer failed to identify and review suspicious trader activity
Interim rules coming in May, with new CEO, board to be named in Q2
Admitted fraudster gets jail time, ordered to pay restitution