Regulators greenlight CDOR benchmark reform
Industry to scrap the Canadian dollar offered rate by mid-2024
- By: James Langton
- May 17, 2022 May 17, 2022
- 14:52
Latest news in From the Regulators
As Russian invasion drags on, investor protection worries linger
European regulators set expectations for investment funds and issuers amid the conflict
- By: James Langton
- May 16, 2022 May 16, 2022
- 14:55
Private equity fund CEO gets jail for fraud
Scheme secured US$133 million in loans based on forged documents
- By: James Langton
- May 13, 2022 May 13, 2022
- 15:59
Cloud outsourcing poses systemic risk
ESMA paper says policy action may be needed to ensure resilience
- By: James Langton
- May 12, 2022 May 12, 2022
- 13:45
CSA unveils new SRO’s board
The Canadian Securities Administrators say the new SRO's CEO will be named in the coming weeks
- By: James Langton
- May 12, 2022 May 12, 2022
- 08:56
UBS settles with MX
Firm settled allegations involving unapproved electronic access
- By: James Langton
- May 11, 2022 May 11, 2022
- 16:05
Former Fortune head gets jail time
David Singh was sentenced to three and a half years in jail and ordered to pay $4.8 million in restitution
- By: James Langton
- May 11, 2022 May 11, 2022
- 14:18
Automated disclosure fails retail investors, Europe’s regulators say
Recommendations aim to address poor practices in investment product disclosure
- By: James Langton
- May 10, 2022 May 10, 2022
- 13:45
Inflation, Ukraine overtake Covid as biggest threats to financial system, Fed says
The observations came in the Fed's semiannual Financial Stability Report
- By: Ken Sweet
- May 9, 2022 May 9, 2022
- 17:31
Ontario court allows proposed class action over bank fee disclosure to proceed
Plaintiff brought case on behalf of TD Bank clients who were charged multiple NSF fees in connection with a single transaction
- By: James Langton
- May 9, 2022 May 9, 2022
- 17:02
SEC extends climate disclosure consultation
Proposed climate standards will get more time for comment
- By: James Langton
- May 9, 2022 May 9, 2022
- 14:11
SEC: Nvidia failed to disclose crypto as revenue generator
The firm will pay a US$5.5-million penalty but did not admit or deny the SEC's findings
- By: The Associated Press
- May 6, 2022 May 9, 2022
- 15:54
They promised crypto profits but bought Lambos instead: SEC
Global crypto mining and trading scheme was a sham, U.S. authorities allege
- By: James Langton
- May 6, 2022 May 6, 2022
- 15:16
BitMEX co-founders sanctioned by CFTC
Trio failed to implement controls to prevent violations of derivatives, money laundering rules
- By: James Langton
- May 6, 2022 May 6, 2022
- 13:34
Screen-sharing scams surge, U.K. regulator says
Investors are getting duped into enabling remote access for fraudsters
- By: James Langton
- May 5, 2022 May 5, 2022
- 15:50
SEC alleges motley insider trading scheme
Front running unreleased stock picks netted US$12 million in illicit profits, U.S. authorities say
- By: James Langton
- May 4, 2022 May 4, 2022
- 15:13
FSRA approves another credential for financial planner title
The Canadian Securities Institute is the latest approved credentialing body for Ontario financial planners
- By: IE Staff
- May 4, 2022 May 4, 2022
- 12:05
Intensity and persistence of supply chain disruptions surprised Bank of Canada
Deputy governor Carolyn Rogers said a clear view of the future has been hard to come by over the last two years
- By: The Canadian Press
- May 3, 2022 May 3, 2022
- 14:04
SEC beefs up crypto enforcement unit
The regulator added 20 staffers to its crypto enforcement team
- By: James Langton
- May 3, 2022 May 3, 2022
- 12:41
Biotech exec sanctioned for illegal bond sales to foreign investors
Firm violated B.C. law when it raised funds from Taiwanese investors, panel found
- By: James Langton
- May 2, 2022 May 2, 2022
- 17:33
ETF class action proceeds, raising bigger issues
The "hybrid" regulation of ETFs makes it impossible to bring a class action for misrepresentation, court finds
- By: James Langton
- May 2, 2022 May 2, 2022
- 14:47
European regulators seek to rein in firms’ nudges
ESMA aims to boost protections against emerging risks such as gamification
- By: James Langton
- April 29, 2022 April 29, 2022
- 16:22
Helping regs get their heads around climate risks
FSB launches consultation on emerging supervisory approaches to climate concerns
- By: James Langton
- April 29, 2022 April 29, 2022
- 16:16
Laurentian fined for AML lapse
FINTRAC review uncovered compliance violation, imposed $487K penalty on Laurentian Bank
- By: James Langton
- April 29, 2022 April 29, 2022
- 14:19
Ontario budget promises little in the way of capital markets reform
Bay Street and regulators are now in a relative calm after a regulatory storm
- By: James Langton
- April 28, 2022 April 28, 2022
- 16:07