Wall Street traders get jail for spoofing
Traders sought to manipulate commodity futures markets, DoJ said
- By: James Langton
- March 10, 2023 March 10, 2023
- 16:39
Latest news in From the Regulators
Anti-greenwashing efforts carry cost, risk for fundcos
Despite risks, lure of flows, revenues expected to keep managers keen on green funds: Fitch
- By: James Langton
- March 10, 2023 March 10, 2023
- 15:10
Ex-Goldman banker gets 10 years in 1MDB case
Conviction on corruption and money laundering charges involved Malaysian sovereign wealth fund
- By: James Langton
- March 9, 2023 March 9, 2023
- 17:41
SEC sanctions Canadian firm in stock sale scheme
U.S. regulator alleged micro-cap CEO dumped shares on unsuspecting investors
- By: James Langton
- March 9, 2023 March 9, 2023
- 17:11
BCSC sanctions company over illegal distribution
Company sold shares to a vulnerable investor without a prospectus or exemption
- By: James Langton
- March 9, 2023 March 9, 2023
- 15:54
Wanted: More whistleblowers, bigger awards
OSC touts success of tip line, hopes to expand its reach
- By: James Langton
- March 9, 2023 March 9, 2023
- 14:25
Hundreds of Ontario insurance agents targeted for CE non-compliance
A FSRA review resulted in 445 letters of warning for failing to complete continuing education hours
- By: IE Staff
- March 9, 2023 March 9, 2023
- 13:35
Industry ill-prepared for T+1
Survey finds over half of buy-side firms haven't started work on transition
- By: James Langton
- March 8, 2023 March 8, 2023
- 17:26
New SRO panel rejects proposed settlement
The case can either proceed to a contested hearing or the two sides may seek a new deal
- By: James Langton
- March 8, 2023 March 8, 2023
- 12:56
Bank of Canada holds key rate for first time in a year, leaves door open to hikes
The economy has generally moved in the right direction for the bank as it aims to slow activity
- By: Nojoud Al Mallees, Canadian Press
- March 8, 2023 March 8, 2023
- 10:36
OSFI fires first salvo on climate risk
Regulator issues initial guidance targeting financial firms' climate risk management, governance
- By: James Langton
- March 7, 2023 March 7, 2023
- 12:35
SEC alleges fraud at crypto fund adviser
Regulator claims millions are missing after funds used in Ponzi-style payments
- By: James Langton
- March 6, 2023 March 6, 2023
- 16:54
Digital bank fined by FINTRAC
WealthOne paid $676,500 penalty amid compliance lapses
- By: James Langton
- March 6, 2023 March 6, 2023
- 16:40
Nickel market outage under investigation by FCA
Regulator confirms enforcement inquiry into extended LME closure
- By: James Langton
- March 3, 2023 March 3, 2023
- 15:27
RBC faces another vacation pay class action
Bank's P&C advisors seek holiday pay on their variable compensation
- By: James Langton
- March 3, 2023 March 3, 2023
- 13:15
FCA tackles competition in wholesale data market
New study to look at the competitiveness of markets for benchmarks, credit ratings
- By: James Langton
- March 2, 2023 March 2, 2023
- 17:17
BCSC imposes sanctions on Ponzi promoters
U.S.-based scheme cost B.C. investors $1.5 million and inflicted other damage, panel said
- By: James Langton
- March 2, 2023 March 2, 2023
- 16:24
OSFI seeks sound tones from the top
Regulator proposes principles-based guidance on firms' culture
- By: James Langton
- March 1, 2023 March 1, 2023
- 15:40
Banned rep allowed to keep inheritance
Tribunal finds that rep's interest in client's estate didn't result from a breach of securities law
- By: James Langton
- March 1, 2023 March 1, 2023
- 15:24
Ex-rep faces $2.5-million fine, ban for misappropriation
SRO panel delayed its decision pending proof of repayment that never came
- By: James Langton
- February 28, 2023 February 28, 2023
- 17:12
FTX exec pleads guilty to fraud charges
U.S. regulators charged the crypto firm's top engineer
- By: James Langton
- February 28, 2023 February 28, 2023
- 15:31
CFTC taps former prosecutor as new top cop
Former federal prosecutor to lead regulator's enforcement division
- By: James Langton
- February 28, 2023 February 28, 2023
- 14:51
SEC commissioners criticize enforcement rationale
Regulators objected to applying "best execution" duties to fund selection
- By: James Langton
- February 28, 2023 February 28, 2023
- 12:01
Fraud losses soar to new record in 2022
Investment scams, notably crypto frauds, drove higher losses
- By: James Langton
- February 27, 2023 February 27, 2023
- 13:32