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

ESMA sanctions rating agency

European regulator said violations involved conflicts of interest

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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

Green globe

SEC climate rule prompts a rush to sue

Experts say companies are likely to prepare to comply anyway

Judge gavel, scales of justice and law books in court

Court upholds tribunal findings in Amaya case

Appeals by advisor, analyst in insider trading case dismissed

Retirees

FCA finds fault in firms’ retirement advice

Regulator details results of review, calls for action from firms

Vacation pay

B.C. court certifies vacation pay class action

Lawsuits seeks damages for certain BMO advisors

gavel

Rep called out after strike two

Ban, fine of $300K follow repeat episode of unapproved outside business activity

Court.

Rep fell for fraud scheme, sanctioned by SRO

Panel orders penalties for disgorgment and deterrence

Big data

SEC alleges advisers engaged in AI-washing

Firms allegedly made misleading statements about their use of AI in investing strategies

cryptocurrencies

SEC sanctions bankrupt crypto lender

Crypto lending program amounted to unregistered securities offering, regulator charged

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

FINRA fines firm over finfluencers

SRO brings first case following compliance review targeting firms' use of online influencers

evergrande

China fines Evergrande and bans chairman for life

Regulators are striving to reassure investors after Chinese markets slumped in the past year

Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizing profits for large business organizations. (Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizin

CFRs, CE and cybersecurity among CIRO’s priorities for 2024

The SRO also updated its exam timeline for mutual fund dealers

penalty card

OEO dealer fined $2 million for violating CIRO rules

Firm offered recommendations in contravention of its registration as an order-execution-only dealer

  • By: IE Staff
  • March 12, 2024 March 12, 2024
  • 15:24
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Boiler room broker gets five years in prison

Pump-and-dump scheme used high-pressure cold calls, targeted seniors

gavel

CIRO panel sanctions fund rep over conflicts

Serving as a client's executor totally incompatible with rep's role, panel says

Law concept - Law book with a wooden judges gavel on table in a courtroom or law enforcement office

ASC dismisses enforcement allegations

Regulator withdrew certain allegations, and a hearing panel rejected others

Judge looks at papers

Court rejects latest bid to derail OSC case against Edward Gong

Tribunal decisions aren't final until sanctions imposed, court says

Businessman Blowing Whistle Isolated on White Background

U.S. DOJ plans to pay whistleblower awards

Program aims to close gaps involving crimes that aren't cases for SEC, CFTC

Federal reserve building, Washington DC

Fed to reconsider proposed regulatory changes

Big banks say the so-called Basel III endgame changes would limit their ability to lend

ESG dividends

CSA expands ESG guidance for investment funds

Regulators seek to combat fund industry greenwashing risks

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OSC sees executive suite shakeup

Personnel moves come ahead of agency's new strategic plan