Tribunal favours public proceedings in Bridging case
Bid to keep compelled testimony confidential was dismissed
- By: James Langton
- July 6, 2022 November 23, 2022
- 17:18
Latest news in From the Regulators
Deal to save PACE goes ahead
Troubled firm's loan book, deposits, employees and branches move to Alterna Savings
- By: James Langton
- July 6, 2022 July 6, 2022
- 15:35
CFTC sanctions financial institutions for swap reporting violations
BNP Paribas, JP Morgan settle separate Commodity Futures Trading Commission cases involving reporting lapses
- By: James Langton
- July 6, 2022 July 6, 2022
- 15:12
Clearing firms pass ESMA stress test
European regulators call for work to address differences in operational risk exposure
- By: James Langton
- July 5, 2022 July 5, 2022
- 14:49
U.K. regulator seeks equity trading reforms
The FCA launched a consultation on trade reporting, transparency and tick size changes
- By: James Langton
- July 5, 2022 July 5, 2022
- 14:43
MFDA panel hands down permanent ban, $1.7-million fine
Ex-fund rep misappropriated client money and disappeared
- By: James Langton
- July 4, 2022 July 4, 2022
- 16:40
Closet indexing class action fails
B.C. court finds TDAM funds were actively managed
- By: James Langton
- July 4, 2022 July 4, 2022
- 15:34
ECB aims to green monetary policy
Climate risk to factor into bond purchases and collateral framework
- By: James Langton
- July 4, 2022 July 4, 2022
- 14:11
Crypto rules to make Europe a global leader as prices plunge
Companies issuing or trading cryptoassets face tough transparency requirements
- By: Kelvin Chan, Associated Press
- June 30, 2022 June 30, 2022
- 12:29
Enforcement cases up, penalties down last year: CSA report
Regulators refined techniques to analyze cryptoasset trading, report says
- By: IE Staff
- June 29, 2022 September 7, 2023
- 12:52
OSFI makes real estate loan changes aimed at reducing lender risk
Those who owe more than 65% of the loan value will have to pay a portion toward the loan principal
- By: The Canadian Press
- June 28, 2022 June 29, 2022
- 15:39
Ottawa lost average of $22 billion a year in unpaid tax from 2014-2018: CRA
The agency released its first report on Canada's overall tax gap
- By: The Canadian Press
- June 28, 2022 June 28, 2022
- 15:32
IIROC’s Kriegler to lead new SRO
Regulators are also forming a new advisory committee to review SRO consolidation
- By: IE Staff
- June 27, 2022 June 28, 2022
- 17:46
CSA lays out priorities under incoming chair
Three-year plan focuses on CFR enforcement, dispute resolution and crypto
- By: James Langton
- June 27, 2022 June 27, 2022
- 11:09
Fund manager fined, banned in OSC settlement
Firm violated securities rules by breaching concentration limits, misleading investors
- By: James Langton
- June 24, 2022 June 24, 2022
- 13:57
U.S. banks ready for severe recession, stress test finds
Annual Fed stress test projects over US$600 billion in bank losses
- By: James Langton
- June 23, 2022 June 23, 2022
- 17:01
Crafting complementary, not conflicting, sustainability standards
ISSB and GRI reiterate their pledge to harmonize global reporting requirements
- By: James Langton
- June 23, 2022 June 23, 2022
- 15:37
Snubbing regulator costs crypto firms millions
Crypto contracts and futures are securities, says the Ontario Capital Markets Tribunal
- By: James Langton
- June 22, 2022 June 22, 2022
- 16:06
Pair charged in Fortress Real scheme
RCMP team charges men behind $900-million syndicated mortgage failure
- By: James Langton
- June 21, 2022 June 22, 2022
- 17:21
CSA, CCIR double down on total cost reporting pledge
Consultation on improving, harmonizing fund disclosure remains open until July 27
- By: James Langton
- June 20, 2022 June 20, 2022
- 13:52
Senate confirms new SEC commissioners
Jaime Lizárraga and Mark Toshiro Uyeda to replace Lee and Roisman as Securities and Exchange commissioners
- By: James Langton
- June 17, 2022 June 17, 2022
- 15:37
FINTRAC, RCMP faltering in money laundering fight
B.C. inquiry brands federal anti–money laundering regime a failure
- By: James Langton
- June 16, 2022 June 16, 2022
- 16:09
Brokers violated “best interest” rules, SEC alleges
Firm, reps charged for selling risky illiquid bonds to retail investors, retirees
- By: James Langton
- June 16, 2022 June 16, 2022
- 15:31
Crypto manipulation: A feature or a bug?
Blockchains inherently enable front running and other activity that's offside in traditional financial markets
- By: James Langton
- June 16, 2022 June 16, 2022
- 15:07