Home News From the Regulators Page 69

Latest news in From the Regulators

MX settles over firm’s supervisory weaknesses article image A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

MX settles over firm’s supervisory weaknesses

SEC adopts reforms to money market funds

BofA hit with $250 million in fines and customer refunds for “double-dipping” fees, fake accounts

Firm tossed, broker charged for “Gold Star” churning

Ruling protects accredited investors’ privacy

Regulators ponder new benchmark article image Personal finances

Regulators ponder new benchmark

No more pencils, no more books: CIRO proposes nixing courses in new proficiency model article image School exam student's taking educational admission test in class, thinking hard, writing answer in university classroom, education and world literacy day concept (School exam student's taking educational admission test in class, thinking hard, writing

No more pencils, no more books: CIRO proposes nixing courses in new proficiency model

AMF taps top civil servant as new chief article image vintage microphones

AMF taps top civil servant as new chief

Fund managers falling short on liquidity, U.K. regulator warns

So far so good for crypto funds, but CSA flags risks article image Crypto coins

So far so good for crypto funds, but CSA flags risks

CFDs are securities, court agrees article image Judge looks at papers

CFDs are securities, court agrees

Federal Reserve minutes: Some officials wanted to raise interest rates last month

FSRA extends timeline for approving title credentialing bodies through 2023 article image Financial Services Regulatory Authority of Ontario logo

FSRA extends timeline for approving title credentialing bodies through 2023

  • By: IE Staff
  • July 5, 2023 July 6, 2023
  • 14:43

Watchdog unveils guidelines to support mortgage holders under financial stress

FCA shines a light into bond markets article image The facade of the Royal Exchange in the City of London

FCA shines a light into bond markets

Industry proposes code for ESG ratings, data article image ESG concept

Industry proposes code for ESG ratings, data

Global regulators target investment funds’ liquidity issues article image Inspecting papers

Global regulators target investment funds’ liquidity issues

FINRA revises remote work rules article image woman sitting at laptop

FINRA revises remote work rules

Bye bye, LIBOR; welcome, CORRA article image liquid dollar sign

Bye bye, LIBOR; welcome, CORRA

Court rejects Binance’s bid to halt OSC inquiry article image A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Court rejects Binance’s bid to halt OSC inquiry

SEDAR+ to launch on July 25 article image stack of files

SEDAR+ to launch on July 25

  • By: IE Staff
  • June 30, 2023 June 30, 2023
  • 10:35

SDNY, SEC target insider trading

CFTC launches task forces for tech, environmental enforcement article image Small space ship flys like a rocket through the air

CFTC launches task forces for tech, environmental enforcement

New FCA rules ease retail access to long-term funds article image new rules

New FCA rules ease retail access to long-term funds

FCA flags sustainable finance concerns