Exec convicted in crypto manipulation scheme
Trading bot used for wash trading, spoofing crypto token
- By: James Langton
- February 8, 2024 February 8, 2024
- 14:09
Latest news in From the Regulators
New SEC dealer rule sparks concern
Fund industry critics worry about rules' impact on liquidity, costs
- By: James Langton
- February 7, 2024 February 7, 2024
- 17:10
FSRA tightens LLQP exam-taking process
Regulator adopts tougher penalties for cheating, restrictions on rewriting
- By: James Langton
- February 7, 2024 February 8, 2024
- 15:33
FINRA revises arbitration rules
Changes come in the wake of independent review of SRO's arbitration program
- By: James Langton
- February 7, 2024 February 7, 2024
- 14:37
Crypto firm settles with SEC, state regulators
Interest-earning program violated state, federal securities laws, regulators alleged
- By: James Langton
- February 7, 2024 February 7, 2024
- 14:24
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
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