IOSCO drops final crypto sector recommendations
Umbrella group aims to establish minimum global standards for sector
- By: James Langton
- November 16, 2023 November 16, 2023
- 13:39
Latest news in From the Regulators
CSA, CIRO stand pat on short-selling
Lack of consensus on possible reforms sends regulators back to study the issues
- By: James Langton
- November 16, 2023 November 16, 2023
- 13:09
Developer faces almost $9 million in fines and disgorgement for securities fraud
Ontario's Capital Markets Tribunal found the firm defrauded investors by diverting funds
- By: James Langton
- November 16, 2023 November 16, 2023
- 09:23
Court approves securities class action settlement
Cannabis companies involved in failed joint venture settle suits
- By: James Langton
- November 15, 2023 November 15, 2023
- 15:38
SEC ramps up enforcement activity
Whistleblower tips and rewards continue to climb
- By: James Langton
- November 15, 2023 November 15, 2023
- 13:43
Mortgage fraudster gets permanent ban
Tribunal rules that misconduct involved securities
- By: James Langton
- November 14, 2023 November 14, 2023
- 17:47
Tribunal stays OSC fraud case
Panel found respondent couldn't mount proper defence without access to confidential evidence
- By: James Langton
- November 14, 2023 November 14, 2023
- 17:01
OSC seeks extended cease trade against hedge fund
Regulator investigating amid suspected trading misconduct
- By: James Langton
- November 14, 2023 November 14, 2023
- 15:19
Treasury traders rebuff SEC reforms: Greenwich
Survey finds investors don't see the need for major overhaul
- By: James Langton
- November 14, 2023 November 14, 2023
- 15:12
Leaked memo reveals financial sector would be excluded from EU net-zero law
Critics say proposed changes to the Corporate Sustainability Due Diligence Directive would make it unenforceable
- By: Ed Davey
- November 14, 2023 November 14, 2023
- 09:28
CIRO’s investor office sets broad agenda
Group to focus on investor-advisor relationships, complaints, suitability
- By: James Langton
- November 14, 2023 November 13, 2023
- 09:01
CCPs to run first-ever global ‘fire drill’ this week
Will review the readiness of CCP staffs, procedures and IT systems for a major firm default
- By: James Langton
- November 13, 2023 November 13, 2023
- 14:43
CRA’s 10% interest rate on overdue tax raises risks
Proposed legislation extends reassessment period
- By: Rudy Mezzetta
- November 13, 2023 November 13, 2023
- 00:09
AMF names new enforcement chief
Interim executive director, Eric Jacob, to take the role permanently, starting Nov. 13
- By: James Langton
- November 10, 2023 November 10, 2023
- 15:30
‘Cryptoqueen’ associate pleads guilty
Player in OneCoin global crypto pyramid scheme admits to fraud, money laundering charges
- By: James Langton
- November 10, 2023 November 10, 2023
- 14:50
MX proposes new trading functionality
Exchange aims to enhance appeal with new order type and automation
- By: James Langton
- November 9, 2023 November 9, 2023
- 16:22
Wall Street trader charged with market manipulation
Former trader facing fraud allegations in U.S. Treasuries market
- By: James Langton
- November 9, 2023 November 9, 2023
- 14:33
OSC seeks new fees for crypto firms
Added costs of registering crypto platforms drives new tariffs
- By: James Langton
- November 9, 2023 November 9, 2023
- 14:30
Cyber-risk oversight a new top priority: ESMA
Compliance concern joins greenwashing as a focus for European regulators
- By: James Langton
- November 9, 2023 November 9, 2023
- 14:15
Citi sanctioned by CFPB for discrimination
Bank allegedly denied credit to customers of Armenian descent
- By: James Langton
- November 8, 2023 November 8, 2023
- 15:08
Rep banned, fined over client conflicts
Former fund rep was named in clients' wills and solicited money from them
- By: James Langton
- November 7, 2023 November 7, 2023
- 16:54
Crypto crimes account for half of CFTC enforcement
Regulator saw several high-profile cases against crypto giants
- By: James Langton
- November 7, 2023 November 7, 2023
- 14:18
BCSC offers whistleblower awards
Regulator to pay between $1,000 and $500,000 for enforcement tips
- By: James Langton
- November 7, 2023 November 7, 2023
- 12:36
CIRO sympathetic to industry challenges with new conflict disclosures
Kriegler acknowledges additional burden to advisors resulting from regulatory changes
- By: Melissa Shin
- November 6, 2023 November 6, 2023
- 12:28
CIRO settles with dealer over capital shortfalls
Firm sanctioned over capital issues, internal controls and record-keeping
- By: James Langton
- November 6, 2023 November 7, 2023
- 12:07