Latest news in From the Regulators

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Global banks well armed to face slump

Sector's resilience could be tested by downturn and high inflation, Basel Committee says

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Climate reporting needs audit standards: IOSCO

Global regulators' approval of ISSB standards will include assurance considerations

Halifax, Nova Scotia, Waterfront

Prop trading firm sanctioned for oversight failures

NSSC settles with Halifax firm that failed to oversee its day traders in China

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

BCSC settles illegal distribution allegation

Regulator will enable investor to make claim for $900,000 to be paid in settlement

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OSFI to withdraw pandemic leverage policy

The provision adopted to support bank lending is no longer needed, regulator says

A global network of investment points

Bank regulators seek crypto capital rules by year’s end

Oversight body reiterates commitment to Basel III adoption


TD, Wall Street firms charged over bond disclosure

SEC settles with three underwriters and charges a fourth over municipal bond deals

Pile of cryptocurrency coins

First crypto insider trading case ends in guilty plea

Former Coinbase employee admits to wire fraud conspiracy

a man on a precipice

Financial risks rising as economic woes mount

Europe's regulators worry as credit, market and operational risks build


FINRA fines firm for options reporting failures

BofA sanctioned for millions of reporting lapses over 10 years

Bank Teller Serving Customer Over Retail Banking Service Counter stock photo

U.S. regulators crafting Basel III rules

Agencies promise joint rule proposals on post-crisis reforms soon

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Insurance regulators start consultation on banning upfront commissions

The move follows a regulatory warning earlier this year to stop DSC sales of seg funds

Financial stock exchange market display screen board on the street

CSA adopts streamlined capital-raising option for issuers

For greater investor protection, the final exemption imposes primary offering liability

  • By: IE Staff
  • September 8, 2022 September 8, 2022
  • 12:41
crowd divided

DIY investors the most financially literate, finds OSC study

Three in 10 investors were overconfident about their investment knowledge, but women and investors with advisors tended to be underconfident

  • By: IE Staff
  • September 7, 2022 September 7, 2022
  • 13:17
rules and regulations

SEC sanctions firm over SPAC deal disclosures

Conflicts involving SPACs needed more transparency, regulator alleged

online investors

Australian regulator extends binary options ban to 2031

A report found the ban is effective in preventing retail investors from losing money

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Ex-fund rep sanctioned for failing to cooperate

SRO sought to investigate after compliance review discovered pre-signed forms


U.K. hedge fund manager charged for alleged FX manipulation

Fund manager aimed to trigger US$20-million options payout, U.S. authorities allege

Financial market risks are high and rising: ESMA

European regulators warn of further market corrections

people at annual general meeting

Federal governance reforms kick in

Changes to director election rules, proxy process, expected to enhance boards, shareholder democracy

Greenwashing and isolated green warning sign against white background stock illustration

Arming investors to guard against greenwashing

IOSCO report reviews investor, advisor education efforts in sustainable finance

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Metaverse is ripe for scams: NASAA

Regulators warn investors against advice, investments pitched in virtual worlds

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IIROC proficiency project moves on to traders, PMs

SRO aims to finalize competency standards by early 2024


Remains of PACE to face liquidation

KPMG appointed to oversee failed credit union's windup


Alberta fraudster gets near-max sentence

Court cites mental, physical and emotional toll on victims