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
Latest news in From the Regulators
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
Petition calls for tax deadline extension amid federal worker strike
The CRA says tax returns filed digitally will largely be processed automatically ``without delay"
- By: The Canadian Press
- April 25, 2023 April 25, 2023
- 15:44
CORRA takes the lead in derivatives
Adoption of the new financial benchmark well underway
- By: James Langton
- April 25, 2023 April 25, 2023
- 12:55
Regulators rethink just who is systemic
Hedge funds, asset managers and even crypto firms face increased oversight, Fitch says
- By: James Langton
- April 25, 2023 April 25, 2023
- 12:48
Accelerating work on sustainability standards
Consultation on new assurance standards to start in summer and be ready for 2024
- By: James Langton
- April 25, 2023 April 25, 2023
- 12:41
CIRO it is: SRO members approve new name
Firms will have until Dec. 31, 2024, to adopt the name and logo on required disclosures
- By: Mark Burgess
- April 24, 2023 April 24, 2023
- 17:17
OSFI enhances outsourcing oversight expectations
Regulator's new guidance to take effect in May 2024
- By: James Langton
- April 24, 2023 April 24, 2023
- 16:24
SRO proposes T+1 rule changes
Changes to dealer rules, trading rules aim to facilitate shorter settlement cycle
- By: James Langton
- April 20, 2023 April 20, 2023
- 15:55
Crypto is the bait, and FOMO is the hook
NASAA survey on investor threats finds digital asset schemes top the list
- By: James Langton
- April 20, 2023 April 20, 2023
- 14:30
Firms begin factoring climate goals into executive pay
Impact so far is modest amid a variety of challenges, FSB finds
- By: James Langton
- April 20, 2023 April 20, 2023
- 14:03
Fund investors to get full cost disclosure, eventually
CSA and CCIR finalize CRM3 rules, give industry until 2026 to adopt
- By: James Langton
- April 20, 2023 April 20, 2023
- 11:11
BCSC panel penalizes investment fraud
Investor lost $1 million based on deception about company's ownership of a hotel
- By: James Langton
- April 19, 2023 April 19, 2023
- 17:26
FSRA finalizes seg fund DSC ban
Final rules for a ban beginning June 1 were sent to the finance minister for approval
- By: Greg Meckbach
- April 19, 2023 May 5, 2023
- 14:24
Fraudster makes small dent in massive sanctions bill
BCSC collects US$350,000 toward $36.7-million enforcement debt
- By: James Langton
- April 19, 2023 April 19, 2023
- 14:14
SEC sanctions robo advisor for misstatements about tax-loss harvesting service
Clients missed out on potential tax benefits after firm failed to alert them to changes in automated service
- By: James Langton
- April 18, 2023 April 18, 2023
- 17:04
Certain Bridging investors get priority, court rules
Investor protections under securities law create priority in receivership
- By: James Langton
- April 18, 2023 May 12, 2023
- 16:39