AMT changes left out of legislation
Feds may be reviewing elements after pushback related to charitable giving
- By: Mark Burgess
- November 30, 2023 November 30, 2023
- 10:27
Latest news in From the Regulators
FAIR Canada calls for clarity on industry titles
Investor survey highlights risks of confusion over titles and proficiency
- By: James Langton
- November 30, 2023 November 30, 2023
- 09:41
CSA unveils binding authority for OBSI
Regulators propose long-awaited reforms to enhance industry dispute-resolution system
- By: James Langton
- November 30, 2023 November 29, 2023
- 07:00
Polluter pays principle comes to U.K. advice market
FCA to require companies to set aside capital for investor redress
- By: James Langton
- November 29, 2023 November 29, 2023
- 14:54
Conservative Supreme Court justices seem open to an attack on the Securities and Exchange Commission
Case involves appeal of a lower-court ruling that threw out stiff financial penalties imposed on hedge fund manager
- By: Mark Sherman, The Associated Press
- November 29, 2023 November 29, 2023
- 13:50
Fund managers adjust ESG disclosure, communication in response to scrutiny: report
Firms are reporting increased compliance costs as they respond to ESG guidance and regulatory "sweeps"
- By: Mark Burgess
- November 29, 2023 November 29, 2023
- 12:09
Saskatchewan seeks binding dispute resolution
Proposed legislation aims to boost investor protection
- By: James Langton
- November 28, 2023 November 28, 2023
- 15:25
U.K. regulator steps up greenwashing fight
New product labelling and marketing rules to take effect in 2024
- By: James Langton
- November 28, 2023 November 28, 2023
- 15:14
OSC warns fund managers over misleading yields
Regulator's compliance reviews find issues with performance reporting
- By: James Langton
- November 28, 2023 November 28, 2023
- 13:36
B.C. court rejects challenge to regulator’s summons
Duty of fairness to witnesses at investigative stage is minimal but it has been met in this case, court finds
- By: James Langton
- November 27, 2023 November 27, 2023
- 16:24
RBC, TD remain global systemically important banks
The FSB's annual list of banks that require extra capital and oversight shrank by one
- By: James Langton
- November 27, 2023 November 27, 2023
- 12:30
U.K. regulator endorses tokenized fund model
Industry working group proposes model for blockchain-based funds
- By: James Langton
- November 24, 2023 November 24, 2023
- 16:34
Receiver seeks help with failed hedge funds
E&Y invites advisors to guide securities liquidation
- By: James Langton
- November 24, 2023 November 24, 2023
- 13:13
Financial system still fragile, ECB warns
Effects of high rates to weigh further on economy, financial sector
- By: James Langton
- November 22, 2023 November 22, 2023
- 13:15
FSRA proposes guidance on life agent fitness
Draft guidance forms part of larger effort to improve industry conduct
- By: James Langton
- November 22, 2023 November 22, 2023
- 13:06
Deepfakes come to investment scams, AMF warns
Regulator says fraudsters deploying increasingly sophisticated technology
- By: James Langton
- November 21, 2023 November 21, 2023
- 17:52
Founder of Binance, world’s largest crypto exchange, pleads guilty to anti-money laundering charge
The company agreed to pay more than $4 billion following an investigation
- By: The Associated Press
- November 21, 2023 November 21, 2023
- 15:31
Federal Reserve minutes: Officials saw inflation slowing but will monitor data to ensure progress
Most economists say they think the central bank is done raising rates
- By: Christopher Rugaber, The Associated Press
- November 21, 2023 November 21, 2023
- 15:27
SEC seeks showdown with Kraken
Crypto platform promises to fight regulator's charges
- By: James Langton
- November 21, 2023 November 21, 2023
- 13:57
FSRA removes credit union director
The banking leader repeatedly failed to submit information to the regulator
- By: IE Staff
- November 21, 2023 November 21, 2023
- 09:54
FINRA gets green light for remote oversight
SEC approves SRO rules to facilitate work-from-home supervision
- By: James Langton
- November 20, 2023 November 20, 2023
- 17:05
CRA claws back $458 million in pandemic-era wage subsidies after partial audit
Most adjustments were related to calculation errors and lack of documentation rather than ineligibility
- By: Nojoud Al Mallees, Canadian Press
- November 20, 2023 November 20, 2023
- 15:10
OSFI consults on banks’ crypto disclosures
Regulator's planned guidance comes alongside Basel Committee initiative
- By: James Langton
- November 20, 2023 November 20, 2023
- 14:51
Bridging investors must be treated equally, ruling says
Appeal court overturned decision granting priority in insolvency to certain Bridging investors
- By: James Langton
- November 20, 2023 November 20, 2023
- 11:36
Lagarde calls for European SEC
Big project needed to galvanize creation of single capital market
- By: James Langton
- November 17, 2023 November 17, 2023
- 16:55