Industry preps for the end of CDOR
Legal, operational issues may arise with loans as key benchmark is eliminated
- By: James Langton
- August 3, 2022 August 3, 2022
- 15:50
Latest news in From the Regulators
New crypto oversight legislation arrives as industry shakes
U.S. senate bill would give CFTC oversight of digital commodities
- By: James Langton, The Associated Press
- August 3, 2022 January 17, 2023
- 11:26
Robinhood Crypto fined $30M for AML failings
New York regulator says firm's compliance didn't keep pace with its growth
- By: James Langton, The Associated Press
- August 2, 2022 November 10, 2023
- 16:53
FINRA plots bond transparency boost
The SRO proposed cutting the trade reporting deadline from 15 minutes to 60 seconds
- By: James Langton
- August 2, 2022 August 2, 2022
- 16:37
SEC alleges US$300 million crypto Ponzi scheme
Founders and U.S. promoters were charged after other regulators failed to shut down the scheme
- By: James Langton
- August 2, 2022 August 2, 2022
- 12:59
SEC seeks expansion of SRO oversight
Proposal would narrow exemption from FINRA for prop trading firms
- By: James Langton
- July 29, 2022 July 29, 2022
- 16:14
U.S. Fed warns crypto firm on deposit insurance claims
Fed, FDIC order Voyager Digital to stop statements on deposit insurance
- By: James Langton
- July 29, 2022 July 29, 2022
- 12:34
Voluntary climate disclosure falling short: FCA
Reviews find significant improvement in climate reporting, but also substantial shortcomings
- By: James Langton
- July 29, 2022 July 29, 2022
- 12:22
Regulators approve using MFDA discretionary fund to pay new SRO integration costs
Enforcement penalties will be used to help fund the new SRO
- By: James Langton
- July 28, 2022 August 3, 2022
- 17:04
ASC issues almost $4-million penalty over investor fraud
A panel reluctantly ordered less than full disgorgement of the ill-gotten gains
- By: James Langton
- July 28, 2022 July 28, 2022
- 15:36
SEC sued over proxy voting rule reversal
U.S. trade groups asked courts to restore rule changes favoured by public companies
- By: James Langton
- July 28, 2022 July 28, 2022
- 14:47
SEC charges brokers for identity theft failings
Firms didn't have adequate programs for spotting red flags
- By: James Langton
- July 28, 2022 July 28, 2022
- 09:25
Senior client DSC switch ends in sanctions
Rep fined after switching a nonagenarian's account into a DSC fund
- By: James Langton
- July 28, 2022 July 28, 2022
- 09:16
Fed unleashes another big rate hike in bid to curb inflation
The 75-basis-point increase brings the key rate to the highest level since 2018
- By: Christopher Rugaber, The Associated Press
- July 27, 2022 July 27, 2022
- 14:22
IOSCO stands ready to review climate standards
Group sets criteria for approving ISSB standards for capital markets
- By: James Langton
- July 27, 2022 July 27, 2022
- 13:55
FCA seeks radical shift in consumer treatment
Tougher standards aim to improve competition and results for customers
- By: James Langton
- July 27, 2022 July 27, 2022
- 13:50
RBC DS admits order-marking failures
Software updates caused various issues undermining market oversight
- By: James Langton
- July 26, 2022 July 26, 2022
- 16:03
Ontario court dismisses appeal over mining project disclosure
The court upheld the dismissal of an investor class action alleging disclosure failings
- By: James Langton
- July 26, 2022 July 26, 2022
- 14:06
Canadians receiving an average of $2,053 in tax refunds, CRA says
The agency has processed 29.1 million tax returns so far this year
- By: Rudy Mezzetta
- July 26, 2022 July 26, 2022
- 13:34
MFDA sanctions fund dealer
SRO levies $60,000 fine and orders $10,000 in costs
- By: James Langton
- July 25, 2022 July 25, 2022
- 17:22
ICO architect admits securities fraud
Fraudsman falsely claimed connections with Fed, financial firms
- By: James Langton
- July 25, 2022 July 25, 2022
- 17:04
Ex U.S. congressman among nine charged in insider trading cases
One defendant allegedly learned about Merck’s Pandion acquisition; another allegedly learned about the T-Mobile-Sprint merger
- By: Larry Neumeister, The Associated Press
- July 25, 2022 July 25, 2022
- 15:20
Being an ‘advisor’ could become tougher in Saskatchewan
The FCAA consults on an approach that would deviate from Ontario's new title rules
- By: James Langton
- July 25, 2022 July 25, 2022
- 14:00
Former rep who claimed clients’ funds were loans penalized more than $700K
An IIROC hearing panel also permanently banned the former Toronto-area rep
- By: IE Staff
- July 22, 2022 July 22, 2022
- 14:43