IOSCO, FSB consider fund liquidity risk reforms
Regulators seek to address liquidity issues that arose amid the pandemic
- By: James Langton
- June 16, 2023 June 16, 2023
- 14:53
Latest news in From the Regulators
OSC seeks to ban former fund industry exec
Regulator pursuing ban against David Singh for fraud conviction
- By: James Langton
- June 15, 2023 June 15, 2023
- 17:26
European Commission issues proposals to bolster sustainable finance
Regulating ESG rating providers is part of the new measures
- By: James Langton
- June 15, 2023 June 15, 2023
- 15:38
Rep sanctioned for overlooking red flags
CIRO says rep failed to meet gatekeeper obligations by ignoring suspicious trading
- By: James Langton
- June 14, 2023 June 14, 2023
- 15:24
Regulators lay groundwork for total cost reporting
Industry braces for technical challenges as new disclosures take effect
- By: James Langton
- June 13, 2023 June 13, 2023
- 12:06
Coinbase, Binance pain could be crypto sector’s gain
High-profile enforcement may spur U.S. policy reform, Moody's says
- By: James Langton
- June 12, 2023 June 12, 2023
- 14:53
SEC lawsuits against crypto companies raise questions about industry’s future
The lawsuits are the latest in an ongoing tussle between government and the crypto industry
- By: Fatima Hussein and Ken Sweet, The Associated Press
- June 12, 2023 June 12, 2023
- 14:20
FSRA meets or exceeds service standards in Q4
Results include action on insurance, title protection complaints
- By: Michelle Schriver
- June 9, 2023 June 9, 2023
- 15:41
Privacy office orders release of FSRA enforcement notice
Disciplinary filing is a statutory requirement, not legally privileged, IPC rules
- By: James Langton
- June 9, 2023 June 9, 2023
- 14:11
DoJ charges Russians in Mt. Gox hack
Proceeds of the attack were used to set up crypto exchange favoured by criminals
- By: James Langton
- June 9, 2023 June 9, 2023
- 13:38
FCA cracks down on crypto hype
Regulator adopts series of measures to curb marketing, bolster investor protection
- By: James Langton
- June 8, 2023 June 8, 2023
- 14:34
ESMA flags concerns over fund costs
Efficient portfolio management costs continue to worry regulators
- By: James Langton
- June 7, 2023 June 7, 2023
- 15:39
Feds consult on fighting money laundering and terrorist financing
Government also seeks comment on creation of new financial crimes agency
- By: Rudy Mezzetta
- June 7, 2023 June 7, 2023
- 12:52
Court denies Bridging investors’ bid for money back
Chief justice finds motion is premature, directs receiver to address distribution issues
- By: James Langton
- June 7, 2023 June 7, 2023
- 12:14
Title protection fee proposal in Ontario draws criticism from planning associations, investor advocates
Group rejects proposed fee exemptions for self-regulatory organization and calls for greater advisor proficiency
- By: IE Staff
- June 6, 2023 June 7, 2023
- 16:13
SEC brings charges against cryptocurrency trading platform Coinbase
The company operated an unregistered securities platform and brokerage service, the U.S. regulator says
- By: Michelle Chapman, The Associated Press
- June 6, 2023 June 6, 2023
- 10:55
SEC says crypto firm Binance mishandled funds, violated securities laws
Investigation said to have uncovered 'extensive web of deception, conflicts of interest, lack of disclosure, and calculated evasion of the law'
- By: Fatima Hussein, The Associated Press
- June 5, 2023 June 5, 2023
- 12:31
Life agent sanctioned for client service scheme, churning
New agent allegedly split commissions with ex-agent, churned those clients
- By: James Langton
- June 2, 2023 June 2, 2023
- 15:43
Insurance agents opt out of class action en masse
Agents benefit from independent contractor status, undermining proposed lawsuit seeking employment benefits
- By: James Langton
- June 2, 2023 June 2, 2023
- 14:38
OSC seeks members for seniors advisory committee
The application deadline is July 4
- By: IE Staff
- June 2, 2023 June 2, 2023
- 13:54
Calgary fraudster gets seven-year sentence
The man was also ordered to pay more than $2 million in restitution to victims
- By: James Langton
- June 1, 2023 June 1, 2023
- 15:48
Mutual fund chargebacks to face CSA scrutiny
Conflict of interest concerns spark regulators' review
- By: James Langton
- June 1, 2023 June 1, 2023
- 15:10
ESMA seeks solutions to greenwashing
The risk of misleading disclosure pervades sustainable product lineups, European regulators say
- By: James Langton
- June 1, 2023 June 1, 2023
- 15:01
CIRO to align compliance operations
Integrating the SROs' compliance and enforcement functions is a top priority alongside policy work
- By: James Langton
- June 1, 2023 June 1, 2023
- 13:01
CSA’s SEDAR+ rollout hits speed bump
As data transfer lags, launch date is pushed back
- By: James Langton
- June 1, 2023 June 1, 2023
- 11:49