Former PI exec fined, banned in Ng fraud
Firm's executive aided Ng's scheme to raise funds with falsified collateral
- By: James Langton
- February 6, 2024 February 6, 2024
- 15:59
Latest news in From the Regulators
Don’t look to the BoC to solve Canada’s housing and economic woes, Macklem says
The central bank says shelter costs are now the primary driver of above-target inflation
- By: Nojoud Al Mallees, Canadian Press
- February 6, 2024 February 6, 2024
- 15:43
Social media’s market manipulation risk
European regulators flag threats to investors from industry, influencers
- By: James Langton
- February 6, 2024 February 6, 2024
- 15:20
Employees working from home by choice can claim expenses, CRA says
Agency releases guidance on home office expenses for 2023
- By: Rudy Mezzetta
- February 5, 2024 February 6, 2024
- 12:45
Federal government extends foreign buyer ban on Canadian homes to 2027
The government said it knows Canada's housing challenge won't be solved by the end of 2024
- By: Mickey Djuric, The Canadian Press
- February 5, 2024 February 5, 2024
- 11:33
Crypto trading teacher hacked, looted: SEC
Students defrauded into financing fictitious AI-powered hedge fund
- By: James Langton
- February 2, 2024 February 2, 2024
- 15:45
U.S. investor advocates take aim at RIA arbitration
Firms use forced arbitration to discourage clients from pursuing complaints
- By: James Langton
- February 2, 2024 February 2, 2024
- 14:34
BigTechs’ foray into financials draws scrutiny
European regulators worry about oversight weaknesses
- By: James Langton
- February 2, 2024 February 2, 2024
- 13:55
Federal banking regulator sets final guidelines around integrity and security
Guidelines from OSFI come after the feds expanded the regulator’s mandate last June to cover those areas
- By: The Canadian Press
- January 31, 2024 January 31, 2024
- 12:37
Rep banned after misappropriating money from client
SRO panel found the rep opened banking products, including a line of credit, in the client's name
- By: James Langton
- January 30, 2024 January 30, 2024
- 16:37
ESMA flags alt fund leverage, liquidity threats
Real estate funds pose potential systemic risks, report says
- By: James Langton
- January 30, 2024 January 30, 2024
- 14:51
U.S. charges trio in massive crypto pyramid scheme
SEC, DoJ file allegations against HyperFund promoters
- By: James Langton
- January 30, 2024 January 30, 2024
- 14:28
Crypto tokens were securities, settlement says
Tribunal accepts settlement with crypto project founders, including more than $1.5 million in sanctions
- By: James Langton
- January 30, 2024 January 30, 2024
- 12:30
SRO panel takes softer line on sanctions
The panel found a rep's misconduct to be serious, but not fraudulent or deceitful
- By: James Langton
- January 30, 2024 January 30, 2024
- 12:15
Investors blindly trust advisors, FAIR Canada finds
Study participants preferred to rely on the knowledge of professionals rather than learn about investing
- By: James Langton
- January 30, 2024 January 30, 2024
- 11:57
Banks, insurers falling behind on climate risk
OSFI says financial firms need to pick up the pace on climate impacts
- By: James Langton
- January 29, 2024 January 29, 2024
- 15:50
ESMA consults on crypto guidance
Regulator to finalize new guidance by the end of 2024
- By: James Langton
- January 29, 2024 January 29, 2024
- 14:46
Rep fined, banned in CIRO settlement
Former rep admitted to misappropriation
- By: James Langton
- January 29, 2024 January 29, 2024
- 14:38
BCSC hits fraudster with heftier fine
Panel said penalty should be bigger than regulator requested
- By: James Langton
- January 26, 2024 January 26, 2024
- 17:05
How to comply with regulators’ guidance on awards
Canadian insurance regulators have not issued a similar warning
- By: Melissa Shin
- January 26, 2024 January 26, 2024
- 16:34
Tribunal trims sanctions against former rep
After partly overturning SRO's ruling, tribunal reduces fine, disgorgement orders
- By: James Langton
- January 26, 2024 January 26, 2024
- 16:19
Crypto Queen’s lawyer lands in jail
Money laundering lawyer gets 10 years in prison
- By: James Langton
- January 26, 2024 January 26, 2024
- 14:32
Small firms need living wills: OSC
Regulator calls for continuity plans at one-man shops
- By: James Langton
- January 26, 2024 January 26, 2024
- 14:25