Funds get added liquidity cushion amid shift to T+1
OSC relief addresses potential mismatch between settlement cycles
- By: James Langton
- June 7, 2024 June 7, 2024
- 14:41
Latest news in From the Regulators
Crypto Ponzi schemer pleads guilty
Investors victimized by phony crypto trading scheme, and worthless token
- By: James Langton
- June 6, 2024 June 6, 2024
- 17:36
Court strikes down SEC’s private fund rule
Regulator exceeded its authority with its proposed rulemaking
- By: James Langton
- June 6, 2024 June 6, 2024
- 14:19
TD faces class action over money laundering scandal
Claim alleges that bank failed to disclose deficiencies fast enough
- By: James Langton
- June 5, 2024 June 5, 2024
- 13:12
IOSCO calls for action on market outages
Software glitches the most common causes of trading failures, regulators find
- By: James Langton
- June 5, 2024 June 5, 2024
- 13:00
Fake investment firm sanctioned
Sham fund manager engaged in a Ponzi scheme, regulators ruled
- By: James Langton
- June 4, 2024 June 4, 2024
- 17:10
European regulators remind industry to stop greenwashing
ESMA promises tougher oversight, calls on industry to avoid misleading claims
- By: James Langton
- June 4, 2024 June 4, 2024
- 15:21
For many, @FinanceBro on par with industry advice
CIRO survey finds investors relying on social media, ranking it as worthy as traditional advice
- By: James Langton
- June 4, 2024 June 4, 2024
- 15:12
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
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