Home News From the Regulators Page 51

Latest news in From the Regulators

FCA warns firms, finfluencers about misleading memes article image social media

FCA warns firms, finfluencers about misleading memes

CFTC, SDNY charge crypto platform

ESMA finalizes first set of crypto standards article image cryptocurrencies

ESMA finalizes first set of crypto standards

ASC sanctions strip-mall developers article image Stealing money

ASC sanctions strip-mall developers

ESMA sanctions rating agency

FinTRAC still coping with cyberbreach

Regulators keep savvy-investor exemption article image Light bulb

Regulators keep savvy-investor exemption

Europe hesitant over T+1 move article image Advisor tracking stocks

Europe hesitant over T+1 move

Fund managers need to spruce up IRCs

SEC climate rule prompts a rush to sue article image Green globe

SEC climate rule prompts a rush to sue

Court upholds tribunal findings in Amaya case

FCA finds fault in firms’ retirement advice article image Retirees

FCA finds fault in firms’ retirement advice

B.C. court certifies vacation pay class action article image Vacation pay

B.C. court certifies vacation pay class action

Rep called out after strike two

Rep fell for fraud scheme, sanctioned by SRO

SEC alleges advisers engaged in AI-washing article image Big data

SEC alleges advisers engaged in AI-washing

SEC sanctions bankrupt crypto lender article image cryptocurrencies

SEC sanctions bankrupt crypto lender

FINRA fines firm over finfluencers article image 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

China fines Evergrande and bans chairman for life article image evergrande

China fines Evergrande and bans chairman for life

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

OEO dealer fined $2 million for violating CIRO rules article image penalty card

OEO dealer fined $2 million for violating CIRO rules

  • By: IE Staff
  • March 12, 2024 March 12, 2024
  • 15:24

Boiler room broker gets five years in prison

CIRO panel sanctions fund rep over conflicts

ASC dismisses enforcement allegations

Court rejects latest bid to derail OSC case against Edward Gong article image Judge looks at papers

Court rejects latest bid to derail OSC case against Edward Gong