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
Latest news in From the Regulators
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
How FINRA spent its enforcement fines
SRO ordered US$48.1 million in monetary penslties in 2022
- By: James Langton
- May 31, 2023 May 31, 2023
- 15:30
FHSA questions abound as industry rolls out account
The issue of what happens when an FHSA holder dies may need to be dealt with sooner rather than later, for example
- By: Melissa Shin
- May 31, 2023 May 31, 2023
- 15:20
Financial stability still shaky: ECB
Markets, investment funds remain vulnerable to rising stress
- By: James Langton
- May 31, 2023 May 31, 2023
- 13:53
Mortgage fraudsters hit with $47-million sanction
Most of the investors' money was put into riskier projects than promised
- By: James Langton
- May 30, 2023 May 30, 2023
- 15:33
OSC’s Investor Advisory Panel to focus on crypto, CRM3 in year ahead
The IAP is also pushing for reforms to the dispute resolution process
- By: Mark Burgess
- May 30, 2023 May 30, 2023
- 14:51
CIRO tackling array of high-profile policy challenges
Commission structures, account transfer standards and dual registration are all in the works
- By: James Langton
- May 30, 2023 May 30, 2023
- 13:56
CCMA seeks regulatory certainty for T+1
Countdown to shorter settlement cycle transition in May 2024 has begun
- By: James Langton
- May 30, 2023 May 29, 2023
- 09:01
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
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