SEC charges trading chatroom moderator
Market manipulation scheme run on Discord channel, regulator says
- By: James Langton
- May 26, 2023 May 26, 2023
- 16:25
Latest news in From the Regulators
Investors must beware of the “halo” effect: ESMA
Selling regulated and unregulated products side by side poses risks to investors, firms
- By: James Langton
- May 26, 2023 May 26, 2023
- 15:12
Firm sanctioned over syndicated mortgage violations
Brokerage, owner admitted to various contraventions of mortgage rules
- By: James Langton
- May 26, 2023 May 26, 2023
- 14:33
Ex-trader admits to second insider trading scheme
Tips on upcoming mergers involving SPACs allegedly sent to friend
- By: James Langton
- May 26, 2023 May 26, 2023
- 13:56
Firms struggle to understand conflicts: BCSC
Compliance sweep uncovers issues with identifying, disclosing and managing conflicts of interest, including conflicted compensation
- By: James Langton
- May 25, 2023 May 25, 2023
- 14:55
Fund managers’ valuation practices need help: ESMA
Review found weakness in firms' valuation processes, procedures
- By: James Langton
- May 24, 2023 May 24, 2023
- 16:55
IOSCO seeks regulatory certainty for crypto
Regulators consult on global standards, expect final version by Q4
- By: James Langton
- May 23, 2023 May 23, 2023
- 13:52
Company, execs sanctioned for excessive hype
Investors were misled by company's news releases, OSC alleged
- By: James Langton
- May 19, 2023 May 19, 2023
- 14:07
Ex-fund manager lands in jail
Investors were misled about fund's trading and holdings, U.S. district court judge says
- By: James Langton
- May 17, 2023 May 17, 2023
- 16:54
Bridging execs rebuffed by court and tribunal
Bid for judicial review quashed, motion to summon top OSC brass rejected
- By: James Langton
- May 17, 2023 May 17, 2023
- 14:34
ESMA seeks to curb investors’ fund costs
Regulators ask lawmakers for action on investment fund costs
- By: James Langton
- May 17, 2023 May 17, 2023
- 14:19
Inching toward RegTech innovation
Small, straightforward tech solutions can have big payoffs, OSC TestLab finds
- By: James Langton
- May 16, 2023 May 16, 2023
- 14:17
Advisor chargebacks need robust controls, regulators say
Insurance regulators promised new guidance on upfront compensation structures
- By: James Langton
- May 15, 2023 May 15, 2023
- 15:22
Rep used fake account, loans to steal from client
Former fund rep fined, banned by regulators for misappropriation
- By: James Langton
- May 12, 2023 May 12, 2023
- 16:45
IOSCO issues new guidance for ETF regulation
Best practices aim to address ETF sector's evolution over the past decade
- By: James Langton
- May 12, 2023 May 12, 2023
- 15:30
FINRA to firm: Get out!
SRO expels brokerage over widespread regulatory violations
- By: James Langton
- May 12, 2023 May 12, 2023
- 15:07
Decision that put certain investors at head of line in Bridging receivership faces appeal
Lawyers argue that all investors should be treated equally
- By: James Langton
- May 12, 2023 May 12, 2023
- 13:39
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
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