Forex firm faces fraud charges
Police allege financial institutions defrauded in money laundering scheme
- By: James Langton
- July 3, 2025 July 3, 2025
- 14:22
Latest news in From the Regulators
CSA flags venture market pump-and-dump risk
Regulators warn about investors being misled by inflated venture acquisitions
- By: James Langton
- July 3, 2025 July 3, 2025
- 14:17
Canaccord fined by FINTRAC
Compliance review uncovered weaknesses in firm's anti-money laundering processes
- By: James Langton
- July 3, 2025 July 3, 2025
- 11:56
Dealer sanctioned over gatekeeping failure
Echelon Partners failed to guard against clients' potentially-suspicious trading in U.S. OTC markets
- By: James Langton
- July 3, 2025 July 3, 2025
- 08:46
SEC, CFTC settle with fund managers
Firms misled investors about risk of funds' trading strategy, regulators alleged
- By: James Langton
- July 2, 2025 July 3, 2025
- 15:26
Jail time for crypto Ponzi schemer
More than US$40M raised from investors on false promise of automated trading returns
- By: James Langton
- July 2, 2025 July 3, 2025
- 15:21
Bullying equals regulatory misconduct: FCA
Regulator to adopt rules that set out how workplace misconduct breaches rules
- By: James Langton
- July 2, 2025 July 2, 2025
- 14:04
Tribunal upholds FCA market manipulation case
Trio of traders engaged in spoofing in government bond markets, regulator alleged
- By: James Langton
- July 2, 2025 July 2, 2025
- 14:00
FINRA rebating regulatory fees
Stronger than expected revenues enables SRO to return US$50 million to brokers
- By: James Langton
- July 2, 2025 July 2, 2025
- 12:47
OSC can now come knocking in your inbox
As of July 1, regulator can serve investigative summonses electronically
- By: James Langton
- July 2, 2025 July 2, 2025
- 12:45
Ottawa must pass a law revoking digital service tax before refunds are issued: CRA
First payments from now-dropped tax were due Monday
- By: Craig Lord, The Canadian Press
- July 2, 2025 July 2, 2025
- 11:57
U.S. bank regs propose easing capital rules
On their own, changes are "neutral", but could be "negative" alongside other efforts to relax banks' capital demands, Fitch Ratings says
- By: James Langton
- June 27, 2025 June 27, 2025
- 16:36
Ex-tech CEO misled venture investors
Founder overstated firm's recurring revenue when courting investors, U.S. authorities alleged
- By: James Langton
- June 27, 2025 June 27, 2025
- 16:33
Court upholds OSC receivership
Appeal for stay from Cacoeli Group real estate companies rejected
- By: James Langton
- June 27, 2025 June 27, 2025
- 12:38
AMF adopts CIRO registration delegation
On July 1, Quebec joins effort to streamline registration, cut regulatory burden
- By: James Langton
- June 27, 2025 June 27, 2025
- 09:31
CSA aims to kill fund chargebacks
Regulators propose banning conflicted sales model before it gains traction
- By: James Langton
- June 26, 2025 June 26, 2025
- 15:25
Former TD employee pleads guilty
Ex-banker in Florida admitted to taking bribes to improperly open accounts
- By: James Langton
- June 26, 2025 June 26, 2025
- 14:15
Supreme Court to hear rent dispute case
Court will rule on ability to repudiate lease, duty to mitigate damages
- By: James Langton
- June 26, 2025 June 26, 2025
- 14:13
Euro regs consult on ESG stress tests
Proposals aim to harmonize approach to factoring ESG risks into supervisory stress testing
- By: James Langton
- June 26, 2025 June 26, 2025
- 14:09
Ban on ex-CEO over Epstein relationship upheld
U.K. tribunal rejects appeal from former Barclays CEO, cuts financial penalty
- By: James Langton
- June 26, 2025 June 26, 2025
- 14:06
B.C. court upholds ruling to enforce SEC order
U.S. regulator seeks to enforce US$30 million disgorgment order against West Van man
- By: James Langton
- June 25, 2025 June 25, 2025
- 15:48
OSC funds investor protection efforts
Regulator announces new financing commitments to Prosper Canada, Osgoode legal aid clinic
- By: James Langton
- June 25, 2025 June 25, 2025
- 14:55
CIRO case volumes, sanctions decline
SRO sees jump in complaints, investigations, but proceedings down
- By: James Langton
- June 25, 2025 June 25, 2025
- 12:01
Share-sale frauds spike, ASIC warns
Regulator reports surge in identity thefts, account hacks targeting investors' portfolios
- By: James Langton
- June 25, 2025 June 25, 2025
- 08:54
Stablecoins fail test to function as money: BIS
Private crypto can't pass the test to serve as the new backbone of the global monetary system
- By: James Langton
- June 24, 2025 June 24, 2025
- 13:54