New SEC rule requires public companies to disclose cybersecurity breaches in 4 days
The rule encompasses third-party apps
- By: The Associated Press
- July 26, 2023 July 26, 2023
- 16:36
Latest news in From the Regulators
SEC targets conflicts in AI
Proposed rules would require firms to identify and combat conflicts built into technologies
- By: James Langton
- July 26, 2023 July 26, 2023
- 15:14
BoC mindful of not overdoing rate hikes, summary of deliberations reveals
The bank decided that the cost of waiting too long to raise rates outweighed the benefits
- By: Nojoud Al Mallees, Canadian Press
- July 26, 2023 July 26, 2023
- 14:52
Advisor fined $70K for thousands of pre-signed forms
Former Scotia Capital rep sanctioned in settlement with CIRO
- By: James Langton
- July 26, 2023 July 26, 2023
- 14:37
Federal Reserve raises key rate for 11th time in drive to slow inflation
A key question is whether Wednesday's increase will be the Fed's last
- By: Christopher Rugaber, The Associated Press
- July 26, 2023 July 26, 2023
- 14:27
OSFI consults on crypto rules for banks, insurers
New guidelines adopt global banking regulators' standards
- By: James Langton
- July 26, 2023 July 26, 2023
- 13:52
Pandemic forced money launderers to diversify
Illicit activity moved out of casinos to securities firms and real estate, according to FINTRAC
- By: James Langton
- July 26, 2023 July 26, 2023
- 09:41
Prescribed rate to stay at 5% in Q4
The CRA's interest rate on overdue tax will remain the same for a third consecutive quarter
- By: Rudy Mezzetta
- July 25, 2023 July 25, 2023
- 12:17
IOSCO endorses ISSB standards, setting stage for consistent global climate reporting
The organization is calling on regulators around the world to consider adopting the standards
- By: James Langton
- July 25, 2023 July 25, 2023
- 10:32
CIRO fines firm for retail compliance violations
Firm admitted to serving retail investors before SRO approvals, systems in place
- By: James Langton
- July 24, 2023 July 24, 2023
- 15:47
UBS sanctioned for Credit Suisse’s Archegos failures
U.S., U.K., Swiss regulators take action over risk management, governance weaknesses
- By: James Langton
- July 24, 2023 July 24, 2023
- 13:32
Amazon, Google, Meta, Microsoft agree to White House AI safeguards
Some of the commitments call for third-party oversight of commercial AI systems
- By: The Associated Press
- July 21, 2023 July 21, 2023
- 14:59
Tribunal allows Gong to seek stay of OSC case
Former Toronto mayoral candidate may have a case for breach of privilege by OSC staff
- By: James Langton
- July 21, 2023 July 21, 2023
- 14:30
CRA releases forms to allow for transfers out of FHSAs
The industry is still waiting for certain forms needed to administer the new plans
- By: Rudy Mezzetta
- July 21, 2023 July 21, 2023
- 13:22
CIRO seeks margin rules for PPNs
Proposal revises conservative approach initially sought by IIROC
- By: James Langton
- July 20, 2023 November 10, 2023
- 17:19
BCSC gets new enforcement powers
Reforms give the regulator enhanced powers to sanction uncooperative witnesses
- By: James Langton
- July 20, 2023 July 20, 2023
- 16:32
FINRA re-ups ex-OSC chair, adopts new rules
SRO renews Maureen Jensen's board term for three years
- By: James Langton
- July 20, 2023 July 20, 2023
- 10:18
Crypto fraudster sentenced to jail
Scheme promised high returns from "robo" crypto trading
- By: James Langton
- July 19, 2023 July 19, 2023
- 16:09
ASC bans, fines fraudster
Perpetrators used investors' money to buy a house instead of funding Mexican taxi venture
- By: James Langton
- July 19, 2023 July 19, 2023
- 15:39
Flurry of lawsuits follows Bridging collapse
Failed firm's receiver has filed a series of legal actions against various players in the saga
- By: James Langton
- July 18, 2023 July 19, 2023
- 17:35
Building cap-and-trade markets that work
IOSCO report details recommendations for carbon market regulation
- By: James Langton
- July 18, 2023 July 18, 2023
- 14:01
Tribunal finds it has no say in OSC investigations
Panel rejects Binance's bid to get regulator's inquiry halted
- By: James Langton
- July 18, 2023 July 18, 2023
- 10:07
Closet indexing class action stumbles, again
B.C court gives plaintiff another chance to clarify proposed claim
- By: James Langton
- July 17, 2023 July 18, 2023
- 15:37
FSB sets final global crypto rules
Global group's rules target recent turmoil and misconduct in crypto markets
- By: James Langton
- July 17, 2023 July 17, 2023
- 15:17
FCA takes on the finfluencers
Regulator revises industry guidance on social media usage amid rising risks
- By: James Langton
- July 17, 2023 July 17, 2023
- 15:01