Former fund rep sanctioned for exceeding registration
Fund rep could fill out basic information, but not KYC info, on investment dealer accounts
- By: James Langton
- May 7, 2024 May 7, 2024
- 16:47
Latest news in From the Regulators
ESMA consults on retail crypto funds
Regulator contemplates expanding eligible assets for retail investment funds
- By: James Langton
- May 7, 2024 May 7, 2024
- 12:42
IOSCO chief heads to FSB
Global group of regulators seeks new secretary general
- By: James Langton
- May 7, 2024 May 7, 2024
- 12:19
U.S. regulators revive incentive pay proposals
Rules were initially crafted to discourage excessive risk taking in the wake of the global financial crisis
- By: James Langton
- May 6, 2024 May 6, 2024
- 15:04
OSC to increase focus on DIY investors
The regulator also wants to toughen enforcement and see better advice given at banks
- By: James Langton
- May 3, 2024 May 3, 2024
- 17:04
FSRA chief tapped for Ontario Energy Board
Proposed appointment still needs to be confirmed by legislative committee
- By: James Langton
- May 3, 2024 May 3, 2024
- 15:02
SEC sanctions systematic audit firm failures
Firm allegedly recycled audit papers, routinely failed to meet standards
- By: James Langton
- May 3, 2024 May 3, 2024
- 12:05
Misleading disclosure wasn’t material, BCSC panel finds
Misrepresentation allegations against pharma company and CEO dismissed
- By: James Langton
- May 2, 2024 May 2, 2024
- 17:26
Delay for OSC’s Bridging hearing denied
Tribunal refused to pause its proceedings while lawyers try to get paid
- By: James Langton
- May 1, 2024 May 1, 2024
- 13:41
Binance founder sentenced to 4 months
Changpeng Zhao jailed for allowing rampant money laundering on the platform
- By: Gene Johnson, The Associated Press
- May 1, 2024 May 1, 2024
- 09:30
TD takes US$450M provision related to anti-money laundering inquiry
Bank's chief executive acknowledged that the investigation has weighed on TD's share price
- By: The Canadian Press
- May 1, 2024 May 1, 2024
- 09:21
Helping investors make use of climate disclosures
ISSB releases taxonomy that aids analysis of new sustainability standards
- By: James Langton
- April 30, 2024 April 30, 2024
- 13:38
Market correction risks elevated, regulators caution
Monetary policy uncertainty, geopolitical, cybersecurity risks abound, report says
- By: James Langton
- April 30, 2024 April 30, 2024
- 13:38
Fraudsters faking identities, duping banks
Toronto police bust alleged synthetic identity ring
- By: James Langton
- April 29, 2024 April 29, 2024
- 14:39
Toronto police bust fake investment scheme
Perpetrators posing as representatives of Schroders, an asset manager
- By: James Langton
- April 26, 2024 April 26, 2024
- 17:22
CIRO proposes new fee model
Fees to rise for most firms as minimums go up, certain dealers pay higher share
- By: James Langton
- April 25, 2024 April 25, 2024
- 17:18
FSB adopts standards for counterparty failures
Global policy group calls for toolbox approach to CCP resolution
- By: James Langton
- April 25, 2024 April 25, 2024
- 13:58
Fund costs fell after CRM2
CSA research details the evolution of fund costs in the face of transparency reforms
- By: James Langton
- April 25, 2024 April 25, 2024
- 11:05
Advisors face new U.S. fiduciary requirements
Labor Department finalizes fiduciary rule for retirement advice
- By: James Langton
- April 24, 2024 April 24, 2024
- 14:10
Tribunal asked to pause OSC’s Bridging case
Lawyers for firm's founder seek adjournment amid unpaid legal bills
- By: James Langton
- April 24, 2024 April 24, 2024
- 12:49
Nature, workforce risks next on ISSB’s agenda
Standards setter defines its policy direction beyond climate disclosures
- By: James Langton
- April 23, 2024 April 23, 2024
- 14:39
FCA escalates greenwashing fight
Regulator seeks to extend regime to portfolio managers
- By: James Langton
- April 23, 2024 April 23, 2024
- 12:54
Court certifies crypto class action against Binance
Suit alleges that retail investor trades violated securities law
- By: James Langton
- April 22, 2024 April 22, 2024
- 14:06
Crypto manipulator convicted
Trader defrauded platform of over US$110 million in novel market manipulation
- By: James Langton
- April 19, 2024 April 19, 2024
- 14:16