First crypto insider trading case ends in guilty plea
Former Coinbase employee admits to wire fraud conspiracy
- By: James Langton
- September 12, 2022 September 12, 2022
- 17:15
Latest news in From the Regulators
Financial risks rising as economic woes mount
Europe's regulators worry as credit, market and operational risks build
- By: James Langton
- September 12, 2022 September 12, 2022
- 14:21
U.S. regulators crafting Basel III rules
Agencies promise joint rule proposals on post-crisis reforms soon
- By: James Langton
- September 9, 2022 September 9, 2022
- 14:06
Insurance regulators start consultation on banning upfront commissions
The move follows a regulatory warning earlier this year to stop DSC sales of seg funds
- By: Michelle Schriver
- September 8, 2022 September 13, 2022
- 15:44
CSA adopts streamlined capital-raising option for issuers
For greater investor protection, the final exemption imposes primary offering liability
- By: IE Staff
- September 8, 2022 September 8, 2022
- 12:41
DIY investors the most financially literate, finds OSC study
Three in 10 investors were overconfident about their investment knowledge, but women and investors with advisors tended to be underconfident
- By: IE Staff
- September 7, 2022 September 7, 2022
- 13:17
SEC sanctions firm over SPAC deal disclosures
Conflicts involving SPACs needed more transparency, regulator alleged
- By: James Langton
- September 6, 2022 September 6, 2022
- 15:26
Australian regulator extends binary options ban to 2031
A report found the ban is effective in preventing retail investors from losing money
- By: James Langton
- September 6, 2022 September 6, 2022
- 13:21
Ex-fund rep sanctioned for failing to cooperate
SRO sought to investigate after compliance review discovered pre-signed forms
- By: James Langton
- September 1, 2022 September 1, 2022
- 16:39
U.K. hedge fund manager charged for alleged FX manipulation
Fund manager aimed to trigger US$20-million options payout, U.S. authorities allege
- By: James Langton
- September 1, 2022 September 1, 2022
- 12:53
Financial market risks are high and rising: ESMA
European regulators warn of further market corrections
- By: James Langton
- September 1, 2022 September 1, 2022
- 12:39
Federal governance reforms kick in
Changes to director election rules, proxy process, expected to enhance boards, shareholder democracy
- By: James Langton
- August 31, 2022 August 31, 2022
- 18:28
Arming investors to guard against greenwashing
IOSCO report reviews investor, advisor education efforts in sustainable finance
- By: James Langton
- August 31, 2022 August 31, 2022
- 16:18
Metaverse is ripe for scams: NASAA
Regulators warn investors against advice, investments pitched in virtual worlds
- By: James Langton
- August 31, 2022 August 31, 2022
- 13:46
IIROC proficiency project moves on to traders, PMs
SRO aims to finalize competency standards by early 2024
- By: James Langton
- August 29, 2022 August 29, 2022
- 17:06
Remains of PACE to face liquidation
KPMG appointed to oversee failed credit union's windup
- By: James Langton
- August 29, 2022 August 29, 2022
- 15:54
Alberta fraudster gets near-max sentence
Court cites mental, physical and emotional toll on victims
- By: James Langton
- August 29, 2022 August 29, 2022
- 13:55
Ottawa posts $10.2 billion surplus in first quarter of fiscal year
Program expenditures fell by $29 billion or 25% as Covid-19 measures wind down
- By: The Canadian Press
- August 26, 2022 August 26, 2022
- 12:13
B.C. Appeal Court upholds dismissal of IIROC suit
The Court of Appeal for British Columbia found that the judge did not err in 2019 ruling
- By: IE Staff
- August 25, 2022 August 25, 2022
- 11:52
Temporary changes to EI made during pandemic are set to expire next month
The expiration comes as the federal government works on modernizing the program
- By: Nojoud Al Mallees, Canadian Press
- August 23, 2022 August 23, 2022
- 15:38
Five crypto firms ordered to stop false FDIC claims
Agency warns firms to cease insurance coverage statements
- By: James Langton
- August 19, 2022 August 19, 2022
- 15:06
Citi sanctioned for weak trading controls
FCA fines firm for failing to beef up trading surveillance
- By: James Langton
- August 19, 2022 August 19, 2022
- 14:32
IIROC takes aim at naked shorts
SRO provides guidance on short covering expectations
- By: James Langton
- August 18, 2022 August 18, 2022
- 17:06
OSFI sets capital rules for crypto
Regulator details its interim approach to capital, liquidity treatment for cryptoassets
- By: James Langton
- August 18, 2022 August 18, 2022
- 15:09