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FINRA proposes gift limit increase

SRO aims to ease compliance, adjust limit to inflation

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

Court upholds BCSC panel’s effort to value lost crypto

Panel's approach to estimating disgorgement was reasonable, court found

Rules and regulations

MX consults on regulatory reform

Exchange looks to streamline application, approval processes

Stock market prices

OSC launches long-term asset fund experiment

Regulator to consider exemptive relief, novel protections for new funds

whistle blower

OSC must disclose complaint, not the complainer

Privacy commission upholds decision to protect tipster's identity

Laundering money

FINTRAC sanctions B.C. currency exchange

Series of alleged violations included failing to report suspicious activity

Volatility likely to impact client portfolios in wake of Trump election victory

U.S. federal court rules against Trump’s fentanyl and ‘Liberation Day’ tariffs

The government says it will appeal the order, which blocks tariffs imposed using the International Economic Emergency Powers Act

Canadian laws

Court appoints receiver over real estate venture

OSC sought receiver citing "serious concerns" about possible violations

calendar court

Court rules accounts go to widow, not estate

Common law spouse successful in rebutting presumption of trust, court finds

Quantum computer

ESMA calls on Big Tech to fight online scams

Regulators ask tech platforms to outlaw unauthorized promotions

Crypto money

FCA consults on crypto rules

U.K. regulator proposes prudential, custody rules, stablecoin regulation

consultation discussion

IAP highlights CFRs, OBSI, geopolitical risks

Binding authority for investor dispute resolution body OBSI should be priority, investor advocacy group says

Court settlement

Online trading firm settles CIRO allegations

New firm failed to adequately review trading, client comms, SRO alleged

Businessman holding tablet with graphs

IOSCO adopts fund liquidity reforms

Policy recommendations and guidance aim to improve liquidity risk management

Entrance of historic bank building of Swiss bank Credit Suisse. Photo taken April 19th, 2021, Zurich, Switzerland.

FCA bans former banker in African kickback scheme

Third former Credit Suisse banker sanctioned in corrupt loans scandal

Fraud allure

CEO sold fake units in real LPs, SEC alleges

Alleged scheme sold US$46 million in phantom interests in genuine vehicles

Illustration of a man standing at a crossroads

Quebec bill to bring mutual fund reps under CIRO ‘rushed’, industry says

Provincial government, AMF, criticized for a lack of consultation over moves

Fines graphic

Failure to file exemption reports ends in sanctions

Firm qualified for Northwest exemption, but didn't submit reports: BCSC

cryptocurrencies

Top court denies appeal on Binance class action

Ontario courts have rejected crypto firm's effort to mandate arbitration

GDP Word Written In Wooden Cube reflection on black mirrow with money stack as graph in background stock photo

GDP growth drops sharply in Q1: OECD

U.S. trade war torpedos economic growth

consultation discussion

OSFI launches series of reform consultations

Regulator reviews bank liquidity requirements, insurers' capital rules

Sustainable investing

Shoring up sustainable bond markets

IOSCO report highlights greenwashing, capacity challenges

Fraud

IOSCO calls on tech firms to combat investor fraud

Online platforms need to help guard against misconduct, scams: regulators

penalty card

BCSC sends a message on late filings

Biotech CEO sanctioned for failing to file insider reports on time