IIROC takes aim at naked shorts
SRO provides guidance on short covering expectations
- By: James Langton
- August 18, 2022 August 18, 2022
- 17:06
Latest news in From the Regulators
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
ESG integration category criticized in responses to SEC proposals
Morningstar and As You Sow said the category could make ESG fund comparisons more difficult for investors
- By: Mark Burgess
- August 17, 2022 August 17, 2022
- 13:20
IRS seeks crypto tax dodgers
Court authorizes agency to collect information on possible tax evasion by crypto traders
- By: James Langton
- August 16, 2022 August 16, 2022
- 16:45
Blue Horseshoe loves Equifax puts
PR firm employee allegedly tipped partner, who traded on news of a major cyber breach
- By: James Langton
- August 16, 2022 August 16, 2022
- 16:39
Canadians charged in U.S. account hacking scheme
Accused allegedly used breached accounts to pump microcap stocks
- By: James Langton
- August 16, 2022 August 16, 2022
- 09:33
FINRA adopts e-filing for enforcement
A temporary pandemic innovation is being made permanent
- By: James Langton
- August 15, 2022 August 15, 2022
- 16:45
Crypto firms must promise to be good
CSA demands pre-registration undertakings from firms to protect investors
- By: James Langton
- August 15, 2022 August 15, 2022
- 11:58
Hedge fund manager convicted in vote-rigging scheme
Co-conspirators secretly took control of company's bonds to rig a vote that gave them millions
- By: James Langton
- August 12, 2022 August 12, 2022
- 16:16
Fraudsman gets 10 years for boiler room scheme
Scammers posed as legit Wall Street brokers to dupe investors
- By: James Langton
- August 12, 2022 August 12, 2022
- 13:54
CSA to host roundtable on derivatives rules
Regulators to prep industry for forthcoming conduct regime
- By: James Langton
- August 12, 2022 August 12, 2022
- 13:41
Regulatory peril is banks’ top governance risk: Fitch
Failings that inflict broader reputational harm or signal deeper issues are most likely to impact credit ratings
- By: James Langton
- August 11, 2022 August 11, 2022
- 16:34
Crypto and FOMO lure retail investors, ASIC finds
Only equities outrank crypto in retail portfolios, Australian research says
- By: James Langton
- August 11, 2022 August 11, 2022
- 14:37
Wall Street traders convicted of spoofing: DoJ
Total of 10 traders now found guilty of manipulating futures markets
- By: James Langton
- August 11, 2022 August 11, 2022
- 14:25
SEC, CFTC to step up hedge fund reporting
Regulators propose expanding post-crisis reporting requirements
- By: James Langton
- August 10, 2022 August 10, 2022
- 11:55
Aggrieved investor must pay back loan, court finds
Ontario court orders summary judgment in favour of bank
- By: James Langton
- August 10, 2022 August 10, 2022
- 09:52
Doggedness pays off for tipster
Whistleblower receives US$13 million after hounding SEC about misconduct
- By: James Langton
- August 9, 2022 August 9, 2022
- 16:13
Allowing financials to go electric
The feds are consulting on virtual meetings and "access equals delivery" in the financial sector
- By: James Langton
- August 9, 2022 August 9, 2022
- 16:03
Feds consider diversity rules for financial firms
Following CBCA changes and CSA discussions, the government is consulting on requirements for federal-sector firms
- By: James Langton
- August 9, 2022 August 9, 2022
- 15:51
CRA says it has $1.4 billion in uncashed cheques sitting in its coffers
The agency will be sending e-notifications to thousands of Canadians
- By: The Canadian Press
- August 8, 2022 August 8, 2022
- 15:01
SEC proposes governance rules for clearing firms
Proposal sets tougher independence requirements for boards and committees
- By: James Langton
- August 8, 2022 August 8, 2022
- 14:50
U.S. bans crypto “mixer” for money laundering
U.S. Treasury sanctions Tornado Cash
- By: James Langton
- August 8, 2022 August 8, 2022
- 14:37
Returning lost money likely to attract fraudsters
Scammers will try to exploit New Brunswick's new unclaimed property regime, regulator warns
- By: James Langton
- August 8, 2022 August 8, 2022
- 14:31
Credit risks rising, regulators warn
BIS has heightened concern about real estate, leveraged loan markets
- By: James Langton
- August 5, 2022 August 5, 2022
- 14:30
Regs seek to shore up central counterparties
IOSCO, CMPI launch discussion of infrastructure firms' resilience
- By: James Langton
- August 4, 2022 August 4, 2022
- 14:27