New SRO gets formal approval from CSA
Provincial regulators finalized recognition orders and interim rules
- By: James Langton
- November 24, 2022 November 24, 2022
- 14:13
Latest news in From the Regulators
Citi’s living will needs work: Banking regulators
Bank promises action to address weakness flagged by Fed, FDIC
- By: James Langton
- November 23, 2022 November 23, 2022
- 16:14
No crypto in retirement accounts: NY AG
Recent failures, volatility, make crypto unsuitable for long-term savings, says New York state attorney general Letitia James
- By: James Langton
- November 23, 2022 November 23, 2022
- 15:29
FCA consults on LIBOR wind down
Proposal would see final U.S. dollar setting terminated in Sept. 2024
- By: James Langton
- November 23, 2022 November 23, 2022
- 14:55
OSC adopts new fee model
New $13.5-million fee for OTC derivatives market players to launch April 2023
- By: James Langton
- November 23, 2022 November 23, 2022
- 14:12
Canadian charged in pump-and-dump scheme
U.S. authorities allege Quebec firm used in market manipulation
- By: James Langton
- November 23, 2022 November 23, 2022
- 12:55
Rep fined, banned for misappropriation
SRO alleged rep took money from a client who was a fellow fund rep
- By: James Langton
- November 22, 2022 November 22, 2022
- 17:54
GSAM settles SEC greenwashing allegations
Firm agrees to pay $US4 million to resolve charges that it didn't follow ESG policies
- By: James Langton
- November 22, 2022 November 22, 2022
- 16:53
FCA seeks industry code for ESG ratings, data
Regulator forms industry group to develop voluntary code of conduct
- By: James Langton
- November 22, 2022 November 22, 2022
- 15:45
CRM3, DSCs, new SRO top OSC agenda
Regulator sets out draft priorities for fiscal 2024
- By: James Langton
- November 22, 2022 May 5, 2023
- 14:12
Trading apps risk turning investors into gamblers: FCA
U.K. regulator says gamification tactics can drive problematic investor behaviour
- By: James Langton
- November 21, 2022 November 21, 2022
- 13:57
When can funds call themselves green?
ESMA proposes portfolio thresholds for ESG, sustainable funds
- By: James Langton
- November 18, 2022 November 18, 2022
- 15:12
SEC charges brokers over unregistered penny stock trades
Side business allegedly enabled billions of stock trades
- By: James Langton
- November 18, 2022 November 18, 2022
- 14:34
No clarity for Bridging investors until the new year
Decision on investor priority motion likely to come in early January
- By: James Langton
- November 17, 2022 November 23, 2022
- 15:34
Ramp-and-dump schemes on the rise, FINRA warns
SRO sees surge in scams involving foreign-issuer, small-cap IPOs
- By: James Langton
- November 17, 2022 November 17, 2022
- 13:04
Worthless rewards drive trading activity: OSC study
Certain behavioural nudges influence investors, regulator finds
- By: James Langton
- November 17, 2022 November 17, 2022
- 12:47
Federal regulators fire warning shot on crypto
OSFI, FCAC, CDIC call out firms' conduct, prudential responsibilities
- By: James Langton
- November 16, 2022 November 17, 2022
- 15:39
Financial stability risks rising, ECB warns
Deteriorating economic, financial conditions could amplify financial sector stress
- By: James Langton
- November 16, 2022 November 16, 2022
- 14:13
FINRA signals crypto sweep
SRO seeks information on firms' recent crypto-related communications
- By: James Langton
- November 15, 2022 November 15, 2022
- 17:15
Rooting out greenwashing sources and solutions
Europe's regulators launch consultation that will inform potential policy
- By: James Langton
- November 15, 2022 November 15, 2022
- 16:09
MX reboots industry committee
Deadline for applications to join regulatory division committee is Dec. 15
- By: James Langton
- November 15, 2022 November 15, 2022
- 16:05
SEC enforcement reaches record heights
Volume of disciplinary actions and total financial sanctions rose in fiscal 2022
- By: James Langton
- November 15, 2022 November 15, 2022
- 13:37
S&P settles SEC rating conflict case
Rating agency's sales personnel pressured analysts on RMBS transaction, regulator alleged
- By: James Langton
- November 15, 2022 November 15, 2022
- 13:30
Financial sector climate analysis underestimates threat
Efforts to sketch scenarios don't capture tail risks, FSB analysis warns
- By: James Langton
- November 15, 2022 November 15, 2022
- 13:24
Former fund rep sanctioned over clients’ estate disclosures
Potential conflicts involving clients' wills weren't reported to dealer
- By: James Langton
- November 14, 2022 November 15, 2022
- 16:52