Investors recoup a bit from B.C. securities fraud
Victims set to recover $2.1 million — a small fraction of their losses
- By: James Langton
- June 27, 2024 June 27, 2024
- 17:00
Latest news in From the Regulators
Firms’ AI adoption poses compliance challenges: FINRA
U.S. SRO highlights regulatory implications
- By: James Langton
- June 27, 2024 June 27, 2024
- 14:28
U.S. Supreme Court curbs SEC authority
Fund manager denied right to a jury trial by internal tribunal, majority says
- By: James Langton
- June 27, 2024 June 27, 2024
- 13:58
Advisor incorporation among CIRO’s priorities for 2025
SRO integration and investor protection also on the agenda
- By: James Langton
- June 26, 2024 June 26, 2024
- 16:56
Who watches the watchers? Best practices for independent review committees
Fund managers should use the recent regulatory review as a means to improve their IRCs
- By: Melissa Shin
- June 26, 2024 July 18, 2024
- 16:41
Crypto crime, but make it old school
Violent robbery crew targeted crypto investors
- By: James Langton
- June 26, 2024 June 26, 2024
- 14:16
First crypto securities fraud convicts sentenced
Crypto ruled a security by U.S. criminal jury for first time
- By: James Langton
- June 26, 2024 June 26, 2024
- 13:56
Appeal Court upholds BCSC ruling
Court declines to overturn panel's conclusions in market manipulation case
- By: James Langton
- June 25, 2024 June 25, 2024
- 15:16
SEC alleges CEO engineered short squeeze
Company completed offering while valuation was inflated, regulator says
- By: James Langton
- June 25, 2024 June 25, 2024
- 15:04
FSRA review finds compliance with seg fund DSC ban
Regulator reviewed 54 information filings from 14 insurers
- By: IE Staff
- June 24, 2024 July 10, 2024
- 16:24
TSX proposes changes to listing rules
Proposals seek comment on adjustments to listing requirements for industrials, miners and energy companies
- By: James Langton
- June 24, 2024 June 24, 2024
- 16:08
Crypto collectibles scheme duped investors, OSC alleges
Regulator alleges venture was a "multi-layered" fraud
- By: James Langton
- June 21, 2024 June 21, 2024
- 17:00
FCA, police raid crypto platform
Unregistered exchange traded more than £1 billion in crypto, authorities allege
- By: James Langton
- June 20, 2024 June 20, 2024
- 15:20
Trading games drive heavier, riskier activity: FCA
Younger, female, low-literacy investors are particularly vulnerable to digital tactics, study shows
- By: James Langton
- June 20, 2024 June 20, 2024
- 15:03
EMDs allowed to play in prospectus deals
Regulators adopt temporary measure to expand capital raising options
- By: James Langton
- June 20, 2024 June 20, 2024
- 12:51
U.S. Supreme Court upholds a tax on foreign income
Justices left in place provision of 2017 tax law expected to generate $340 billion, mainly from foreign subsidiaries of domestic corporations
- By: Mark Sherman, The Associated Press
- June 20, 2024 June 20, 2024
- 12:24
Binance Holdings appeals $6M Fintrac fine
Cryptocurrency exchange says it does not direct its services at those in Canada
- By: The Canadian Press
- June 19, 2024 June 19, 2024
- 15:12
Euro regs seek to simplify sustainability disclosure
Current rules too complex, pose greenwashing risks
- By: James Langton
- June 18, 2024 June 19, 2024
- 17:05
B.C. court rules on limits to powers of attorney
Gift to son denied, as it wasn't specifically set out in POA
- By: James Langton
- June 18, 2024 June 18, 2024
- 15:40
EU to delay key Basel III measure
Policymakers cite need to maintain a level playing field with U.S. banks
- By: James Langton
- June 18, 2024 June 18, 2024
- 13:13
OSFI maintains domestic stability buffer at 3.5%
The federal banking regulator says financial system vulnerabilities remain elevated but stable
- By: The Canadian Press
- June 18, 2024 June 18, 2024
- 11:02
Crypto fraud case focuses on promises to investors
Tokens alone didn't qualify as securities, regulatory tribunal rules
- By: James Langton
- June 17, 2024 June 17, 2024
- 17:17
Advisers didn’t disclose work with short-sellers: SEC
Fund's strategy included working with publishers of bearish articles
- By: James Langton
- June 14, 2024 June 14, 2024
- 13:53
Crypto platform to pay US$4.5 billion in SEC deal
Resolution follows finding that Terraform Labs and its founder are liable for securities fraud
- By: James Langton
- June 14, 2024 June 14, 2024
- 12:36
Tackling climate risk with existing, imperfect data
Regulators in Singapore develop a model for getting early insights on climate risk
- By: James Langton
- June 13, 2024 June 13, 2024
- 11:09