Trading apps, finfluencers, crypto to face SEC scrutiny
Regulator details its compliance review priorities for the year ahead
- By: James Langton
- March 31, 2022 March 31, 2022
- 14:30
Latest news in From the Regulators
Financial firms shouldn’t pay ransoms, trade group says
Firms should also be prepared for ransomware attacks on regulators
- By: James Langton
- March 31, 2022 March 31, 2022
- 14:13
Global climate reporting standards on the horizon
ISSB publishes first set of draft standards, aiming for final versions by the end of the year
- By: James Langton
- March 31, 2022 March 31, 2022
- 12:07
After a banner year, SPACs could face tougher rules
SEC seeks to level the playing field between SPACs, traditional IPOs
- By: James Langton
- March 30, 2022 March 30, 2022
- 16:14
SEC reminds firms to prioritize retail investors’ interests
Best interest rules and fiduciary duties should produce similar outcomes, U.S. regulator says
- By: James Langton
- March 30, 2022 March 30, 2022
- 15:57
FCA sanctions asset manager over conflicts
Fund manager fined £9.1 million for failing to oversee gifts and perks
- By: James Langton
- March 30, 2022 March 30, 2022
- 15:56
Funds need to focus on liquidity risk: ESMA
Regulators call for improvements in stress-testing and valuation
- By: James Langton
- March 30, 2022 March 30, 2022
- 15:55
New federal targets require 42% emissions reduction in Canadian oil & gas: modelling
‘Big oil lobbyists have had their time on the field,’ says PM Trudeau
- By: Mia Rabson, The Canadian Press
- March 30, 2022 March 30, 2022
- 13:49
SEC’s climate proposals welcome, but face challenges
Investors and financial firms to benefit from tougher disclosure requirements, Moody's says
- By: James Langton
- March 29, 2022 March 29, 2022
- 17:34
Court green-lights Bridging Finance liquidation
PwC was given the go-ahead to reject outside bids and proceed with the wind-down
- By: James Langton
- March 29, 2022 March 29, 2022
- 12:56
Life agent compliance found wanting: FSRA
Regulator expands oversight reviews after pilot efforts find widespread shortcomings
- By: James Langton
- March 29, 2022 March 29, 2022
- 12:41
ASC scraps fund rep’s suspension
A panel found the MFDA's suspension was unreasonable and disproportionate for a minor violation
- By: James Langton
- March 28, 2022 March 29, 2022
- 17:49
European regulators seek reforms to carbon market
ESMA proposes measures to boost transparency
- By: James Langton
- March 28, 2022 March 28, 2022
- 15:38
Grant Vingoe named OSC’s CEO
Timothy Moseley has been nominated as chief adjudicator for the commission's new Capital Markets Tribunal
- By: Melissa Shin
- March 24, 2022 March 25, 2022
- 17:02
Tax reminders for clients who bought, renovated or sold homes in 2021
CRA outlined credits, rebates and reporting requirements
- By: IE Staff
- March 24, 2022 March 24, 2022
- 16:58
IIROC issues investor alert about crypto platform
Ontario Invest's website falsely claimed the firm was IIROC-regulated
- By: IE Staff
- March 24, 2022 March 24, 2022
- 15:16
Standards bodies agree to collaborate on sustainability disclosures
The IFRS Foundation and the Global Reporting Initiative hope the move will reduce the reporting burden for companies
- By: IE Staff
- March 24, 2022 March 24, 2022
- 10:33
Ontario’s title protection regime gets ministerial approval
The rules come into force on March 28
- By: Michelle Schriver
- March 23, 2022 March 23, 2022
- 15:09
Powell: Digital currencies will require new regulations
Fed chair says transactions outside of traditional banking should have the same rules as if they were done using banks
- By: Christopher S. Rugaber
- March 23, 2022 March 23, 2022
- 12:38
Powell says Fed will hike further and faster if necessary
The central bank would be open to raising rates by a half-point at multiple Fed meetings, Powell said
- By: Christopher Rugaber, The Associated Press
- March 21, 2022 March 21, 2022
- 15:19
SEC could mandate climate-risk disclosures
The regulator proposes to mandate disclosures about a public company's climate-related risks, as well as Scope 1 and 2 greenhouse gas emissions
- By: Melissa Shin
- March 21, 2022 March 21, 2022
- 13:33
OSC adopts measures to facilitate trailer fee ban
Temporary relief aims to help firms implement new rules on June 1
- By: James Langton
- March 18, 2022 March 18, 2022
- 15:53
FINRA seeks to speed arb for ill, elderly
American SRO proposes rule to accelerate resolutions for vulnerable investors
- By: James Langton
- March 18, 2022 March 18, 2022
- 15:29
This time Binance really means it
Crypto exchange once again promises not to trade with Ontario investors
- By: James Langton
- March 17, 2022 March 17, 2022
- 16:47
OSFI launches consultation on risk management for pension plans
Feedback will shape future guidance
- By: IE Staff
- March 17, 2022 March 17, 2022
- 16:29