B.C. Appeal Court upholds dismissal of IIROC suit
The Court of Appeal for British Columbia found that the judge did not err in 2019 ruling
- By: IE Staff
- August 25, 2022 August 25, 2022
- 11:52
Latest news in From the Regulators
Temporary changes to EI made during pandemic are set to expire next month
The expiration comes as the federal government works on modernizing the program
- By: Nojoud Al Mallees, Canadian Press
- August 23, 2022 August 23, 2022
- 15:38
Five crypto firms ordered to stop false FDIC claims
Agency warns firms to cease insurance coverage statements
- By: James Langton
- August 19, 2022 August 19, 2022
- 15:06
Citi sanctioned for weak trading controls
FCA fines firm for failing to beef up trading surveillance
- By: James Langton
- August 19, 2022 August 19, 2022
- 14:32
IIROC takes aim at naked shorts
SRO provides guidance on short covering expectations
- By: James Langton
- August 18, 2022 August 18, 2022
- 17:06
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