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Latest news in Regulation

tightrope walk

Financial stability risks loom, FSB warns G20

Tight financial conditions, high economic uncertainty remain key vulnerabilities

Sneaky thieves

Report warns of crypto sector’s inherent investor protection threats

ESMA says novel abuses need to be addressed for DeFi sector to grow

Broken piggy bank

Regulators learn from latest banking sector turmoil

Report highlights risk management failures, supervisory shortcomings

Chateau Frontenac in Quebec city, Canada

CIRO to step up fund dealer oversight in Quebec

AMF, provincial government approve delegation of powers to SRO

Courts receive papers

Court rejects Binance’s challenge of OSC investigation

Undertaking doesn't preclude regulator's enforcement action, court finds

Interconnected ESG

Sustainable finance disclosure still falling short

Firms not disclosing investments' negative ESG impact, Paris alignment

Using phone for finances

SEC, CFTC hit delete on firms’ WhatsApp, texting

Another 10 firms sanctioned for extensive recordkeeping violations

Bitcoin, Litecoin and Ethereum

Global trade group proposes crypto regulation principles

World Federation of Exchanges calls for crypto trading to face similar standards as traditional markets

Inspecting documents

U.S. fund industry slams new SEC fund-name rules

Regulator aims for truth in advertising, seeks to combat greenwashing

Fraudster captured

Ex-broker pleads guilty in crypto fraud case

Clients' assets misappropriated rather than invested, U.S. authorities charged

Court gavel

Proposed class action alleges B.C. failed children

Government should have opened RESPs, RDSPs for kids in its care, suit claims

Conceptual image of micro circuit Security concept

SEC alleges Virtu failed to guard client data

Firm rejects regulator's allegations, cites political motive for action

Cat and computer

Dude, where’s my enforcement action?

SEC sanctions Stoner Cats creator over NFT sales

Gavel

CSA increased bans, fines in latest fiscal year

Regulators' year in review also detailed crypto oversight, CFR sweep

  • By: Staff
  • September 7, 2023 September 7, 2023
  • 13:14
open door

Top Swiss regulator steps down

CEO cites stress, health in decision to resign from post

Gavel

B.C. couple charged in Ponzi scheme

Long-running venture took in millions from investors, police allege

Disclosure form

SEC sanctions private equity manager over non-disclosure

Firm failed to reveal conflicted fee payments, regulator charged

gavel

BCSC sanctions sales-rule violations

Former firm provided reps with improper incentives, regulator alleged

pick-pocket

SEC sanctions investor overcharging

Back-office snafu meant clients didn't get discounts on standard fees

People groups

SEC expands FINRA’s jurisdiction

New rule sharply narrows prop traders' SRO exemption

Thief

NFT insider trader catches jail term

Former OpenSea product manager sanctioned for scheme

Financial safety net

IOSCO, CPMI report examines central counterparty risks

Policymakers seek to ensure CCP readiness to handle loss events

low key image of trophy over wooden table and dark background, with abstract shiny lights

Advisors chew over regulators’ warning on industry awards

Even award-winning advisors see merit in the crackdown on pay-to-play and sales-based accolades

Court gavel

B.C. court upholds ruling in advisor’s favour

Investor misunderstood difference between advisory and discretionary accounts, court found

Financial or investment time counting with hourglass or sandglass and stack of coins on wooden table with white background.

Regulators heed plea to push back trade-matching deadline

CSA ruling helps T+1 push, industry says

  • By: Staff
  • August 11, 2023 August 11, 2023
  • 14:31