MX to raise regulatory fees
Rate increases are needed to match expanding responsibilities
- By: James Langton
- February 2, 2023 February 2, 2023
- 16:56
Latest news in From the Regulators
New SRO proposes payback for harmed investors
The proposal would allow for disgorged funds to be paid out to victims of industry misconduct
- By: James Langton
- February 1, 2023 February 1, 2023
- 16:14
Fed lifts rate by quarter-point and signals more hikes ahead
``It would be very premature to declare victory," Powell says
- By: Christopher Rugaber, The Associated Press
- February 1, 2023 February 1, 2023
- 15:01
Crypto class actions a new frontier for litigation
U.S. securities class action filings down in 2022, but crypto cases up, report says
- By: James Langton
- February 1, 2023 February 1, 2023
- 14:45
Tribunal dismisses Bridging CCO’s bid for expedited hearing
No simple way to separate allegations against the failed firm's former execs
- By: James Langton
- February 1, 2023 February 1, 2023
- 14:35
Crypto schemer gets five years in jail
Former promoter sentenced after pleading guilty to conspiracy charge
- By: James Langton
- January 31, 2023 January 31, 2023
- 16:36
IOSCO seeks tougher commodity derivative oversight
Regulators issue revised principles for regulation, supervision of commodity derivatives
- By: James Langton
- January 31, 2023 January 31, 2023
- 16:02
Tribunal allows witness to testify in U.S. case
OSC staff opposed order, amid concerns it could undermine Ontario court's authority to deal with foreign court requests
- By: James Langton
- January 31, 2023 January 31, 2023
- 15:17
Victim can sue bank over fraudulent transfer, B.C. court rules
The bank may have had a duty to warn the customer about a scheme
- By: James Langton
- January 30, 2023 January 30, 2023
- 16:51
Banks’ derivatives activity surged in Q3: BIS
Volatility and uncertainty drove a rise in banks' cross-border claims
- By: James Langton
- January 30, 2023 January 30, 2023
- 15:27
Firms falling short of “best interest” standards: SEC
Regulator's reviews uncover shortcomings in brokers' Reg BI compliance
- By: James Langton
- January 30, 2023 January 30, 2023
- 15:22
Fed set to impose smaller hike, may hint of fewer increases
A downshift in rate increases is fueling enthusiasm on Wall Street that hikes will soon stop
- By: Christopher Rugaber, The Associated Press
- January 30, 2023 January 30, 2023
- 11:37
Court finds murdered man’s life policy was valid, again
Desjardins' appeal rejected as insurer failed to prove fraud on life application
- By: James Langton
- January 27, 2023 January 27, 2023
- 14:54
Insider trading scheme used contracts for difference, FCA alleges
U.K. regulator accuses analyst of tipping off traders
- By: James Langton
- January 26, 2023 January 26, 2023
- 15:35
CRA reminds taxpayers to include Covid benefits in income
T4A errors should be reported right away
- By: IE Staff
- January 26, 2023 January 26, 2023
- 15:04
SEC seeks “skin in the game” for securitizations
New asset-backed securities proposal would implement a key post-crisis reform
- By: James Langton
- January 25, 2023 January 25, 2023
- 16:20
Firms’ work on new consumer duty falling short: FCA
British regulator calls out industry ahead of July 31 deadline for new standards
- By: James Langton
- January 25, 2023 January 25, 2023
- 15:02
U.S. class action settlements surge in 2022
Strong investor recoveries expected to continue in the year ahead
- By: James Langton
- January 25, 2023 January 25, 2023
- 14:41
Investors in “uneasy relationship” with advisors, study shows
FAIR Canada research finds investors worry about fees and suitability, and have low faith in regulatory protections
- By: James Langton
- January 24, 2023 January 24, 2023
- 17:23
RESP privacy breach class action runs aground
A court dismissed the proposed suit involving hospital workers selling new mothers' contact information to RESP dealer reps
- By: James Langton
- January 24, 2023 January 24, 2023
- 15:42
FSRA releases draft operational risk guidance for credit unions
The proposed guidance is out for comment until March 31
- By: Greg Meckbach
- January 24, 2023 January 24, 2023
- 15:22
New SRO plans October business continuity test
The biennial exercise will be coordinated with the U.S. industry
- By: James Langton
- January 23, 2023 January 23, 2023
- 16:09
FSRA proposes cyber guidance for title credentialing bodies
Groups issuing financial planner and advisor titles must meet cybersecurity guidelines
- By: James Langton
- January 23, 2023 January 23, 2023
- 15:37
Bloomberg sanctioned over bond pricing disclosures
Securities prices sometimes relied on single sources, the SEC alleged
- By: James Langton
- January 23, 2023 January 23, 2023
- 14:38