IOSCO tackles rising loan risks
Market has evolved dramatically since the global financial crisis
- By: James Langton
- June 4, 2024 June 4, 2024
- 08:47
Latest news in From the Regulators
Europe reviews investment firms’ capital rules
Crypto exposures, operational risks may need capital charges
- By: James Langton
- June 4, 2024 June 4, 2024
- 08:33
FSRA puts conditions on ivari’s registration
A monitor must review the selling practices of the MGAs that recruit and supervise agents selling ivari’s products
- By: Melissa Shin
- May 31, 2024 May 31, 2024
- 17:04
Shareholder activism hid a pump-and-dump: SEC
Investor floated fake takeover offer to boost stock's price
- By: James Langton
- May 31, 2024 May 31, 2024
- 15:13
ESMA issues guidance on crypto conflicts
Rules don't prohibit vertically integrated crypto firms, European regulators confirm
- By: James Langton
- May 31, 2024 May 31, 2024
- 11:44
Former U.S. banker sentenced to prison for crypto fraud
Investors were duped with promises of crypto trading returns
- By: James Langton
- May 30, 2024 May 30, 2024
- 17:32
WFG, IA fined in connection to alleged unlicensed insurance agent
FSRA is also proposing a penalty of $80,000 for the individual involved
- By: Noushin Ziafati
- May 30, 2024 May 30, 2024
- 15:09
Regulators eager for responses to sustainability disclosure consultation
Comments on the Canadian Sustainability Disclosure Standards are due June 10
- By: Melissa Shin
- May 29, 2024 May 30, 2024
- 12:44
FCNB joins fight against LLQP cheats
Regulator follows CISRO, FSRA with tougher exam administration policy
- By: James Langton
- May 28, 2024 May 28, 2024
- 17:59
Former FTX exec gets jail time
Crypto executive sentenced on federal conspiracy charges
- By: James Langton
- May 28, 2024 May 28, 2024
- 17:53
FAIR Canada applauds Saskatchewan’s OBSI bill
"Landmark" legislation is significant step forward in protecting investors, organization says
- By: James Langton
- May 28, 2024 May 28, 2024
- 17:34
FSRA seeks CRM2-like disclosures for seg funds
Proposal would require seg fund disclosure of embedded costs
- By: James Langton
- May 27, 2024 May 27, 2024
- 15:38
OSFI confronts rising liquidity risks
Regulator consults on revisions to boost intra-day liquidity insight
- By: James Langton
- May 27, 2024 May 27, 2024
- 15:28
ESMA reviews find disclosure, greenwashing issues
European regulators call for enforcement action on compliance failures
- By: James Langton
- May 27, 2024 May 27, 2024
- 15:14
CFTC sanctions trading oversight gaps
Technical glitch prevented comprehensive trade surveillance by JP Morgan
- By: James Langton
- May 24, 2024 May 24, 2024
- 16:15
HSBC fined for fairness failures
Bank's treatment of customers in financial difficulty sparks sanction from U.K. regulator
- By: James Langton
- May 23, 2024 May 23, 2024
- 13:34
Basic products, advice needed to boost investing: ESMA
European regulators make recommendations for revitalizing capital markets
- By: James Langton
- May 23, 2024 May 23, 2024
- 13:21
FINRA not to blame for firms’ return-to-office plans
SRO says post-pandemic rules facilitate flexible working models
- By: James Langton
- May 23, 2024 May 23, 2024
- 13:11
‘Fat finger’ trading flub ends in fines for Citi
Firm's controls failed to block massive trading goof
- By: James Langton
- May 22, 2024 May 22, 2024
- 12:19
ICE sanctioned for cyber breach reporting
Exchange failed to immediately report VPN vulnerability exploit
- By: James Langton
- May 22, 2024 May 22, 2024
- 12:10
Trader gets jail time for front-running scheme
Pair exploited inside knowledge of pension giant's trading plans
- By: James Langton
- May 21, 2024 May 21, 2024
- 15:01
Crypto money launderers busted: DoJ
U.S. charges foreign nationals for allegedly laundering proceeds of "pig butchering" schemes
- By: James Langton
- May 17, 2024 May 17, 2024
- 14:49
SEC beefs up data privacy rules
Changes will raise demands on firms to warn investors about breaches
- By: James Langton
- May 16, 2024 May 16, 2024
- 16:12
FCA charges finfluencers over social media posts
U.K. regulators allege an unregistered FX trading scheme was touted on Instagram
- By: James Langton
- May 16, 2024 May 16, 2024
- 14:59
Pair charged in ‘crypto king’ scheme
Joint investigation by OSC and Durham police results in fraud charges
- By: James Langton
- May 16, 2024 May 16, 2024
- 10:38