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Draft guidance forms part of larger effort to improve industry conduct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
Latest news in From the Regulators
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
Supreme Court upholds AMF’s jurisdiction
High court rejects B.C. residents' challenge in alleged market manipulation case
- By: James Langton
- November 17, 2023 November 17, 2023
- 14:48
FCA review spots greenwashing risks
Fund managers must do more to comply with labelling rules, guidance
- By: James Langton
- November 16, 2023 November 16, 2023
- 16:12
OSC priorities include lifting limitations on advice
Regulators to explore the regulation, provision of advice online
- By: James Langton
- November 16, 2023 November 16, 2023
- 15:44
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
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