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tightrope

Risks arise as exchanges evolve, IOSCO says

Expansion of business lines multiplies conflicts and regulatory challenges

Crypto coins

Coinbase Canada gets CSA registration

Crypto firm to pursue full dealer and ATS registration, plus SRO membership

Financial Technology concept illustration of Businessman pointing at abstract blue business charts and icons

U.K. consults on a digital securities sandbox

Consultation paper on test environment for trading, clearing digital assets will be open for feedback until May 29

Ex-rep’s crypto trading attracts SRO sanctions

Involvement with crypto amounted to undisclosed outside business activity, personal financial dealings

Green globe

ESMA adding ESG factors to rating agency rules

Proposals aim to improve quality, transparency of credit ratings

Gavel and texts

Court rejects OSC’s crypto fraud allegations

Regulator failed to meet burden of proof on all counts

Court.

Desjardins sanctioned in MX settlement

Trader placed numerous potentially misleading orders in bond futures

Review process

CIRO gets clean bill of health from CSA

First oversight review finds SRO complying with recognition order

Papers with text, treasury bonds on a table, business concept. stock photo

Shining more light into Treasury markets

FINRA starts providing data on individual transactions

gavel

Sam Bankman-Fried sentenced to 25 years in prison

Crypto entrepreneur's massive fraud unraveled with the collapse of FTX

Review process

FSRA flags few issues at credentialing bodies

Regulator reports results of first supervisory reviews at planner/advisor titling organizations

Court ruling

Margin call claim must go to trial

Question of whether client used stop loss orders requires hearing, court rules

right or wrong choice

SEC tightens robo exemption

Regulator aims to bolster investor protection, modernize rules

businessman behind bars

U.K. trader at heart of rate scandal loses appeal

Tom Hayes said his case is “not consistent” with laws in France, Germany and the U.S.

  • By: Pan Pylas
  • March 27, 2024 March 27, 2024
  • 11:57
Queen's Park, Ontario, Canada

Ontario budget voices support for OBSI reform

Government endorses OSC's investor protection, capital formation efforts

European Union headquarters

ESMA consults on green bond scrutineers

Consultation proposes registration, supervisory standards for independent reviewers

social media

FCA warns firms, finfluencers about misleading memes

Reels, streams and more must comply with rules against misleading ads, regulator says

gavel

CFTC, SDNY charge crypto platform

KuCoin platform accused of registration, money laundering violations

cryptocurrencies

ESMA finalizes first set of crypto standards

Regulators craft detailed standards to implement new crypto regime

Stealing money

ASC sanctions strip-mall developers

Over $3.4 million of investors' money was diverted to undisclosed uses, regulators found

Closeup of mallet being hit on stacked coins at table in courtroom

ESMA sanctions rating agency

European regulator said violations involved conflicts of interest

Hi-tech technological background with numbers and calculations

FinTRAC still coping with cyberbreach

Agency says no evidence that information was lost in attack

Light bulb

Regulators keep savvy-investor exemption

After pilot program, ASC, FCAA maintain exemption based on financial knowledge

Advisor tracking stocks

Europe hesitant over T+1 move

ESMA consultation finds mixed feelings on shorter settlement cycle

Tax inspection

Fund managers need to spruce up IRCs

OSC, AMF call for freshening up fund governance