FCA seeks to extend Covid-era consumer protections
New guidance encourages insurance industry to accommodate financially stressed clients
- By: James Langton
- January 11, 2023 January 11, 2023
- 15:33
Latest news in From the Regulators
Morgan Stanley sanctioned over MX algorithm access
Firm settled allegations that unapproved employees had access via trading algorithm
- By: James Langton
- January 10, 2023 January 10, 2023
- 17:03
Crypto insider trading generates jail time
Man sentenced for trading ahead of listings on platform
- By: James Langton
- January 10, 2023 January 10, 2023
- 16:59
FINRA flags rising risk of scams targeting seniors
Compliance exam report documents SRO's emerging and ongoing concerns
- By: James Langton
- January 10, 2023 January 10, 2023
- 15:54
Powell: Fed has only narrow role to play on climate change
``We are not, and will not be, a 'climate policymaker,''' the Fed chair said at a conference
- By: Christopher Rugaber, The Associated Press, David McHugh
- January 10, 2023 January 10, 2023
- 10:41
Nova Scotians warned about “pig-butchering” crypto scam that has cost victims $750K
Regulators in North America believe more than $1 billion has been lost to crypto scammers since 2021
- By: The Canadian Press
- January 9, 2023 January 9, 2023
- 14:49
U.S. regulators’ crypto warning to weigh on sector: Moody’s
Government-led digital money projects are more likely, report says
- By: James Langton
- January 9, 2023 January 9, 2023
- 14:43
SEC charges ex-McDonald’s CEO over firing disclosure
Regulator alleged investors weren't told the truth about CEO's dismissal
- By: James Langton
- January 9, 2023 January 9, 2023
- 14:26
NY AG sues former Celsius CEO
Crypto exec defrauded investors of billions, lawsuit alleges
- By: James Langton
- January 5, 2023 January 5, 2023
- 17:00
SEC sanctions former fund manager over conflict
Ex-BlackRock portfolio manager sought help for daughter's acting career while investing in film industry
- By: James Langton
- January 5, 2023 January 5, 2023
- 15:50
As markets slump, prospectus reviews pick up
With filings slowing down, OSC promises faster turnaround times
- By: James Langton
- January 5, 2023 January 5, 2023
- 14:43
SEC charges recidivist with new alleged fraud
Scheme promised outsized returns from blockchain investment
- By: James Langton
- January 4, 2023 January 4, 2023
- 17:05
IIROC enforcement ended on a high as disciplinary activity rose in 2022
Fines levied against reps last year soared to $7.9 million from $938,000 in 2021
- By: James Langton
- January 4, 2023 January 4, 2023
- 16:49
Coinbase in US$100 million settlement
Deal with New York regulator addresses crypto platform's compliance failings
- By: James Langton
- January 4, 2023 January 4, 2023
- 14:31
CFO embezzled from SPACs: SEC, DoJ
Exec pleaded guilty to taking money to trade meme stocks and crypto
- By: James Langton
- January 3, 2023 January 3, 2023
- 16:59
U.S. regulators highlight crypto concerns
Agencies flag "safety and soundness" risks from banks' crypto activities
- By: James Langton
- January 3, 2023 January 3, 2023
- 15:56
Court certifies advisor vacation pay class action against RBC
Lawsuit claims advisors' payouts didn't include mandated vacation pay
- By: James Langton
- January 3, 2023 January 3, 2023
- 14:16
No-name SRO takes flight
The new agency's leadership is dominated by former IIROC personnel
- By: James Langton
- January 3, 2023 January 3, 2023
- 13:06
IIROC fines CIBC World Markets $119K for control failures
Fees charged to certain accounts didn't match fee agreements
- By: IE Staff
- December 22, 2022 December 22, 2022
- 17:26
Will the new SRO shake up title protection in Ontario?
The new self-regulatory organization is considering its role in the evolving regime
- By: Michelle Schriver
- December 22, 2022 December 22, 2022
- 16:47
FSRA orders Greatway Financial to deliver revised training
Greatway must also send its universal life policyholders information to assist them in assessing the policy's appropriateness
- By: Melissa Shin
- December 22, 2022 December 29, 2022
- 15:34
Scotia sanctioned for supervisory snafus after multiple reps fired
The firm will pay nearly $11 million in client compensation after reps boosted their own performance numbers
- By: James Langton
- December 22, 2022 December 22, 2022
- 09:17
Green labelling for funds a fine balance: ESMA
Criteria need to be strict enough to be credible, without being too tough for fund managers
- By: James Langton
- December 21, 2022 December 21, 2022
- 15:01
In a surprise move, Bank of Japan loosens bond yield cap
Japan had been a holdout among major industrialized nations in allowing yields to rise
- By: The Associated Press
- December 20, 2022 December 20, 2022
- 14:03
Shadow banks drove growth in global financial assets: FSB
Non-banks' share of global assets rose in 2021, led by investment funds
- By: James Langton
- December 20, 2022 December 20, 2022
- 13:52