OSC looks to play the long game
Regulator details vision for retail funds that hold long-term assets
- By: James Langton
- October 10, 2024 October 10, 2024
- 17:01
Regulator details vision for retail funds that hold long-term assets
Self-regulatory organization aims to harmonize with CSA's revised requirements
CIRO settles with firm over failure to question suspicious trading activity
FBI created its own cryptoasset to help uncover manipulation-as-a-service
Bank failed in its dealings with customers facing financial distress
Regulators stress need for education as risks persist and investor interest grows
Investor alleges PACE securities sold without required disclosure while under FSRA administration
Regulator seeks enhanced transparency, more useful information on firms' activities
Regulator to embed ESG considerations into compliance, enforcement work
Adding the role will bring even more perspectives, skills: Macklem
Rebate decision failed to properly consider impacts of the pandemic
Company allegedly overstated impact of its work to obtain unwarranted carbon offset credits
The regulator wants to be perceived as only dealing with financial institutions, not individuals
CIRO must get on with the enforcement proceeding, if that's what it intends to do
Challenger bank kept adding risky clients after review
Regulatory order breach results in fine, disgorgement and a new ban
Synthetic settings cease, marking last step in major benchmark reform
Trader engaged in widespread spoofing, authorities alleged
Block trade in interlisted stock was executed off-exchange without regulatory approval
Initiative allows firms to test innovations, explore potential regulatory reforms
Unregistered network enabled possible tax evasion, money laundering, regulator says
Man agrees to pay trading profits plus 50% to regulator