FCAC seeks single body for bank complaints
Applications due June 26 for the job of enhancing complaint handling
- By: James Langton
- May 11, 2023 May 11, 2023
- 14:50
Latest news in From the Regulators
CFTC, SEC sanction Scotia for texting violations
Senior employees used WhatsApp for business communications, regulators find
- By: James Langton
- May 11, 2023 May 11, 2023
- 11:23
OSFI reviewing liquidity treatment of high-interest savings account ETFs
Review will examine whether the risks of the fast-growing category are adequately captured
- By: James Langton
- May 10, 2023 May 10, 2023
- 17:29
IOSCO tackles SPAC boom concerns
No one-size-fits-all solution to protect investors from shell-company risks
- By: James Langton
- May 10, 2023 May 10, 2023
- 15:31
Man jailed for tipping in first-ever crypto insider trading case
Former Coinbase product manager tipped off planned asset listings
- By: James Langton
- May 10, 2023 May 10, 2023
- 13:54
ASC sanctions operator of failed trading scheme
Man permanently banned; ordered to pay $300,000 in disgorgement, penalties and costs
- By: James Langton
- May 10, 2023 May 10, 2023
- 13:39
Tribunal declines to pause case against Bridging execs
Judicial review not an "exceptional circumstance" justifying an adjournment, panel says
- By: James Langton
- May 9, 2023 May 9, 2023
- 17:27
Bridging managed funds as one big pool, court filings allege
Receiver argues that institutional investors' consolidation motion is premature
- By: James Langton
- May 9, 2023 May 9, 2023
- 15:48
Whistleblower gets US$279 million for SEC tip
Record-setting payout follows tip that caused regulator to widen ongoing investigation, prompted action from a second federal agency
- By: James Langton
- May 5, 2023 May 5, 2023
- 14:03
FSRA revises proposed fee rule
Some fees reduced to reflect existing OSC oversight of new SRO
- By: James Langton
- May 4, 2023 May 4, 2023
- 16:19
Biodiversity may be next for ISSB
Standards setter seeks input on what to tackle after climate reporting
- By: James Langton
- May 4, 2023 May 4, 2023
- 14:49
As LIBOR ends, regulators cut firms some slack
ASC, OSC give firms deadline extension on derivatives data reporting
- By: James Langton
- May 4, 2023 May 4, 2023
- 14:31
SEC steps up disclosure demands on hedge, PE funds
Rules aim to enhance systemic risk oversight and investor protection
- By: James Langton
- May 4, 2023 May 4, 2023
- 09:13
SEC boosts companies’ buyback disclosure demands
Investors to get more detailed disclosure of issuers' repurchase activity
- By: James Langton
- May 3, 2023 May 3, 2023
- 15:34
Institutions seek $35 million back from Bridging fund
Investors argue it would be unfair for them to subsidize other victims
- By: James Langton
- May 3, 2023 May 3, 2023
- 15:00
FCA relaxes rules to rejuvenate listings
U.K. regulator curbs investor protections to attract issuers, placate bankers
- By: James Langton
- May 3, 2023 May 3, 2023
- 12:12
Cease-trade orders need expiry dates, tribunal rules
OSC sought to extend order until enforcement proceedings complete
- By: James Langton
- May 2, 2023 May 2, 2023
- 16:51
Brokerage sector bad boys flagged by FINRA
Firms with history of misconduct identified on BrokerCheck system
- By: James Langton
- May 2, 2023 May 2, 2023
- 16:10
Life agents falling short, FSRA finds
Almost half of high-risk agent reviews found best-practice failures
- By: James Langton
- May 2, 2023 May 2, 2023
- 14:39
FDIC recommends overhauling U.S. insurance deposit system
The proposal appears to acknowledge the FDIC is looking for ways to calm depositors and markets
- By: The Associated Press
- May 1, 2023 May 1, 2023
- 15:43
Fed is set to raise rates yet again. Then what?
Officials want to see inflation decline consistently before considering major policy shifts
- By: Christopher Rugaber, The Associated Press
- May 1, 2023 May 1, 2023
- 11:26
SPAC fraudsman gets three years in jail
Former CFO embezzled US$5 million to trade meme stocks, crypto
- By: James Langton
- April 28, 2023 April 28, 2023
- 15:45
CFTC fraud case results in record penalty
U.S. court orders US$3.4 billion in penalties and restitution in global forex fraud
- By: James Langton
- April 28, 2023 April 28, 2023
- 15:23
BCSC to start handing out tickets
Regulator will issue penalties, without hearings, for minor rule violations
- By: James Langton
- April 27, 2023 April 27, 2023
- 13:58
Priority, distribution issues dog Bridging proceeding
Institutional investors seek distribution from failed fund manager
- By: James Langton
- April 26, 2023 April 26, 2023
- 14:54