Latest news in From the Regulators

papers on a desk

Bridging managed funds as one big pool, court filings allege

Receiver argues that institutional investors' consolidation motion is premature

Businessman Blowing Whistle Isolated on White Background

Whistleblower gets US$279 million for SEC tip

Record-setting payout follows tip that caused regulator to widen ongoing investigation, prompted action from a second federal agency

Entrance to Financial Services Regulatory Authority of Ontario

FSRA revises proposed fee rule

Some fees reduced to reflect existing OSC oversight of new SRO

51103421 - a hand painting symbols of alternative energy sources in green. green background. concept of clean environment.

Biodiversity may be next for ISSB

Standards setter seeks input on what to tackle after climate reporting

changes ahead sign

As LIBOR ends, regulators cut firms some slack

ASC, OSC give firms deadline extension on derivatives data reporting

Air raid sirens

SEC steps up disclosure demands on hedge, PE funds

Rules aim to enhance systemic risk oversight and investor protection

Disclosure form

SEC boosts companies’ buyback disclosure demands

Investors to get more detailed disclosure of issuers' repurchase activity

Judge looks at papers

Institutions seek $35 million back from Bridging fund

Investors argue it would be unfair for them to subsidize other victims

UK flag

FCA relaxes rules to rejuvenate listings

U.K. regulator curbs investor protections to attract issuers, placate bankers


Cease-trade orders need expiry dates, tribunal rules

OSC sought to extend order until enforcement proceedings complete

Female tax inspector looking at corporate financial documents with magnifying glass

Brokerage sector bad boys flagged by FINRA

Firms with history of misconduct identified on BrokerCheck system

magnifying glass

Life agents falling short, FSRA finds

Almost half of high-risk agent reviews found best-practice failures

Modern office building close up in sunlight

FDIC recommends overhauling U.S. insurance deposit system

The proposal appears to acknowledge the FDIC is looking for ways to calm depositors and markets

Federal Reserve building in Washington DC, US. Close up of a top part of the building with eagle statue.

Fed is set to raise rates yet again. Then what?

Officials want to see inflation decline consistently before considering major policy shifts


SPAC fraudsman gets three years in jail

Former CFO embezzled US$5 million to trade meme stocks, crypto

Entrance to the U.S. Commodity Futures Trading Commission (CFTC) on their headquarters building in Washington; CFTC is an agency of the US government.

CFTC fraud case results in record penalty

U.S. court orders US$3.4 billion in penalties and restitution in global forex fraud

vancouver downtown skyline with mountains

BCSC to start handing out tickets

Regulator will issue penalties, without hearings, for minor rule violations

Hands reaching out for pie

Priority, distribution issues dog Bridging proceeding

Institutional investors seek distribution from failed fund manager

The Canada Revenue Agency (CRA) headquarters Connaught Building is pictured in Ottawa on Monday, Aug. 17, 2020. The Canada Revenue Agency won't say when it expects its website to return to normal. CRA Tax

Petition calls for tax deadline extension amid federal worker strike

The CRA says tax returns filed digitally will largely be processed automatically ``without delay"

CORRA takes the lead in derivatives

Adoption of the new financial benchmark well underway

Regulators rethink just who is systemic

Hedge funds, asset managers and even crypto firms face increased oversight, Fitch says

global ESG

Accelerating work on sustainability standards

Consultation on new assurance standards to start in summer and be ready for 2024

Businessman at an exhibition or conference wearing a blank security identity name card or tag

CIRO it is: SRO members approve new name

Firms will have until Dec. 31, 2024, to adopt the name and logo on required disclosures

financial risk

OSFI enhances outsourcing oversight expectations

Regulator's new guidance to take effect in May 2024

rules and regulations

SRO proposes T+1 rule changes

Changes to dealer rules, trading rules aim to facilitate shorter settlement cycle