Fund dealer chief sanctioned for misleading SRO
Terms of firm's sale weren't fully disclosed to regulators
- By: James Langton
- April 5, 2024 April 5, 2024
- 15:09
Latest news in From the Regulators
SEC pauses climate rule amid legal challenges
The rule is pending review in the U.S. Court of Appeals for the Eighth Circuit
- By: Suman Naishadham, Associated Press
- April 5, 2024 April 5, 2024
- 12:03
Crypto queen’s compliance chief gets jail
OneCoin scheme took in over US$4 billion from investors, U.S. authorities allege
- By: James Langton
- April 4, 2024 April 4, 2024
- 14:50
SEC sanctions advisory firm for private messaging
Off-channel communications hamper regulatory oversight
- By: James Langton
- April 4, 2024 April 4, 2024
- 14:39
Risks arise as exchanges evolve, IOSCO says
Expansion of business lines multiplies conflicts and regulatory challenges
- By: James Langton
- April 4, 2024 April 4, 2024
- 14:12
Coinbase Canada gets CSA registration
Crypto firm to pursue full dealer and ATS registration, plus SRO membership
- By: James Langton
- April 4, 2024 April 4, 2024
- 13:58
U.K. consults on a digital securities sandbox
Consultation paper on test environment for trading, clearing digital assets will be open for feedback until May 29
- By: James Langton
- April 3, 2024 April 3, 2024
- 13:55
Ex-rep’s crypto trading attracts SRO sanctions
Involvement with crypto amounted to undisclosed outside business activity, personal financial dealings
- By: James Langton
- April 2, 2024 April 2, 2024
- 15:20
ESMA adding ESG factors to rating agency rules
Proposals aim to improve quality, transparency of credit ratings
- By: James Langton
- April 2, 2024 April 2, 2024
- 14:32
Court rejects OSC’s crypto fraud allegations
Regulator failed to meet burden of proof on all counts
- By: James Langton
- April 2, 2024 April 2, 2024
- 14:22
Desjardins sanctioned in MX settlement
Trader placed numerous potentially misleading orders in bond futures
- By: James Langton
- March 28, 2024 March 28, 2024
- 17:13
CIRO gets clean bill of health from CSA
First oversight review finds SRO complying with recognition order
- By: James Langton
- March 28, 2024 March 28, 2024
- 16:34
Shining more light into Treasury markets
FINRA starts providing data on individual transactions
- By: James Langton
- March 28, 2024 March 28, 2024
- 16:15
Sam Bankman-Fried sentenced to 25 years in prison
Crypto entrepreneur's massive fraud unraveled with the collapse of FTX
- By: Ken Sweet, Larry Neumeister, The Associated Press
- March 28, 2024 March 28, 2024
- 15:44
FSRA flags few issues at credentialing bodies
Regulator reports results of first supervisory reviews at planner/advisor titling organizations
- By: James Langton
- March 27, 2024 March 27, 2024
- 16:51
Margin call claim must go to trial
Question of whether client used stop loss orders requires hearing, court rules
- By: James Langton
- March 27, 2024 March 27, 2024
- 14:29
SEC tightens robo exemption
Regulator aims to bolster investor protection, modernize rules
- By: James Langton
- March 27, 2024 March 27, 2024
- 13:52
U.K. trader at heart of rate scandal loses appeal
Tom Hayes said his case is “not consistent” with laws in France, Germany and the U.S.
- By: Pan Pylas, The Associated Press
- March 27, 2024 March 27, 2024
- 11:57
Ontario budget voices support for OBSI reform
Government endorses OSC's investor protection, capital formation efforts
- By: James Langton
- March 26, 2024 March 26, 2024
- 16:03
ESMA consults on green bond scrutineers
Consultation proposes registration, supervisory standards for independent reviewers
- By: James Langton
- March 26, 2024 March 26, 2024
- 14:55
FCA warns firms, finfluencers about misleading memes
Reels, streams and more must comply with rules against misleading ads, regulator says
- By: James Langton
- March 26, 2024 March 26, 2024
- 14:46
CFTC, SDNY charge crypto platform
KuCoin platform accused of registration, money laundering violations
- By: James Langton
- March 26, 2024 March 26, 2024
- 14:28
ESMA finalizes first set of crypto standards
Regulators craft detailed standards to implement new crypto regime
- By: James Langton
- March 25, 2024 March 25, 2024
- 13:56
ASC sanctions strip-mall developers
Over $3.4 million of investors' money was diverted to undisclosed uses, regulators found
- By: James Langton
- March 25, 2024 March 25, 2024
- 12:53