Latest news in From the Regulators

Saskatchewan legislative assembly

Saskatchewan seeks binding dispute resolution

Proposed legislation aims to boost investor protection

Man painting pollution green

U.K. regulator steps up greenwashing fight

New product labelling and marketing rules to take effect in 2024

low yield investment

OSC warns fund managers over misleading yields

Regulator's compliance reviews find issues with performance reporting

High angle view of mallet eyeglasses legal book in courtroom

B.C. court rejects challenge to regulator’s summons

Duty of fairness to witnesses at investigative stage is minimal but it has been met in this case, court finds

Skyline of the financial district

RBC, TD remain global systemically important banks

The FSB's annual list of banks that require extra capital and oversight shrank by one

fintech and blockchain icons on financial technology background

U.K. regulator endorses tokenized fund model

Industry working group proposes model for blockchain-based funds


Receiver seeks help with failed hedge funds

E&Y invites advisors to guide securities liquidation

banking stress

Financial system still fragile, ECB warns

Effects of high rates to weigh further on economy, financial sector

Dominos falling

FSRA proposes guidance on life agent fitness

Draft guidance forms part of larger effort to improve industry conduct

Phishing via internet isometric vector concept illustration Hacking credit card information website Cyber banking attack Online security

Deepfakes come to investment scams, AMF warns

Regulator says fraudsters deploying increasingly sophisticated technology

Crypto coins

Founder of Binance, world’s largest crypto exchange, pleads guilty to anti-money laundering charge

The company agreed to pay more than $4 billion following an investigation

Federal Reserve

Federal Reserve minutes: Officials saw inflation slowing but will monitor data to ensure progress

Most economists say they think the central bank is done raising rates

Bitcoin cyptocurrency

SEC seeks showdown with Kraken

Crypto platform promises to fight regulator's charges


FSRA removes credit union director

The banking leader repeatedly failed to submit information to the regulator

  • By: IE Staff
  • November 21, 2023 November 21, 2023
  • 09:54
zoom call

FINRA gets green light for remote oversight

SEC approves SRO rules to facilitate work-from-home supervision

Cheerful young carpenter discussing order details with her customer on smartphone and taking necessary notes, interior of spacious workshop on background

CRA claws back $458 million in pandemic-era wage subsidies after partial audit

Most adjustments were related to calculation errors and lack of documentation rather than ineligibility

Bitcoin in the hands of a child. The boy holds a metal coin of crypto currency in his hands.

OSFI consults on banks’ crypto disclosures

Regulator's planned guidance comes alongside Basel Committee initiative

Judge looks at papers

Bridging investors must be treated equally, ruling says

Appeal court overturned decision granting priority in insolvency to certain Bridging investors

European Union headquarters

Lagarde calls for European SEC

Big project needed to galvanize creation of single capital market


Supreme Court upholds AMF’s jurisdiction

High court rejects B.C. residents' challenge in alleged market manipulation case

Greenwashing and isolated green warning sign against white background stock illustration

FCA review spots greenwashing risks

Fund managers must do more to comply with labelling rules, guidance

three colleagues discussing their business prospects and looking at laptop screen

OSC priorities include lifting limitations on advice

Regulators to explore the regulation, provision of advice online


IOSCO drops final crypto sector recommendations

Umbrella group aims to establish minimum global standards for sector

stock market down

CSA, CIRO stand pat on short-selling

Lack of consensus on possible reforms sends regulators back to study the issues


Developer faces almost $9 million in fines and disgorgement for securities fraud

Ontario's Capital Markets Tribunal found the firm defrauded investors by diverting funds