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
Latest news in From the Regulators
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
U.K. proposes stablecoin regulations
FCA, BoE seek regime that allows innovation, ensures protections
- By: James Langton
- November 6, 2023 November 6, 2023
- 11:54
Former rep fined, banned for taking loans from clients
Panel defers penalties while ex-rep repays clients
- By: James Langton
- November 3, 2023 November 3, 2023
- 11:58
AMF consults on total cost reporting for seg funds
Draft rules out for comment, expected to take effect in 2026
- By: James Langton
- November 2, 2023 November 2, 2023
- 17:25
RBC settles internal controls case with SEC, OSC, AMF
Accounting for internal software development violated securities rules
- By: James Langton
- November 2, 2023 November 3, 2023
- 17:09
U.K.’s FCA issues guidance on new crypto rules
Regulator aims to facilitate compliance with new regime
- By: James Langton
- November 2, 2023 November 2, 2023
- 16:07
Ex-Goldman banker gets jail for insider trading
Banker tipped pal with inside info on potential M&A deals
- By: James Langton
- November 2, 2023 November 2, 2023
- 15:58
“Safe” crypto token was anything but: SEC
Trio charged over alleged crypto fraud scheme
- By: James Langton
- November 1, 2023 November 10, 2023
- 16:24
Former rep fined, banned by CIRO
Ex-NBF rep admitted to misappropriating clients' funds, as well as other violations
- By: James Langton
- November 1, 2023 November 1, 2023
- 15:56
Four charged in alleged “free-riding” scheme
The four face SEC and DoJ charges for allegedly opening hundreds of sham accounts
- By: James Langton
- October 31, 2023 October 31, 2023
- 17:08
FINRA deputy enforcement chief departs
SRO executive leaves after nine years at the agency
- By: James Langton
- October 31, 2023 October 31, 2023
- 17:01
Alberta legislature resumes with promise of referendum on new taxes
The bill would prevent tax increases and changes to tax brackets or credits without a referendum
- By: The Canadian Press
- October 31, 2023 October 31, 2023
- 14:39