Regulation – Advisor's Edge https://phoenix.advisor.ca The best news source for Canadian financial advisors. Investments, financial markets, insurance, practice management, tax and estate planning Thu, 12 Oct 2023 14:26:09 +0000 en-CA hourly 1 https://wordpress.org/?v=5.9.3 https://phoenix.advisor.ca/wp-content/uploads/sites/5/2018/05/cropped-advisor-ico-32x32.png Regulation – Advisor's Edge https://phoenix.advisor.ca 32 32 Financial stability risks loom, FSB warns G20 https://phoenix.advisor.ca/news/regulation/financial-stability-risks-loom-fsb-warns-g20/ Wed, 11 Oct 2023 19:39:52 +0000 https://www.advisor.ca/?p=231657 Tight financial conditions, high economic uncertainty remain key vulnerabilities

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]]> Report warns of crypto sector’s inherent investor protection threats https://phoenix.advisor.ca/news/regulation/report-warns-of-crypto-sectors-inherent-investor-protection-threats/ Wed, 11 Oct 2023 19:21:41 +0000 https://www.advisor.ca/?p=231641 ESMA says novel abuses need to be addressed for DeFi sector to grow

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]]> Regulators learn from latest banking sector turmoil https://phoenix.advisor.ca/news/regulation/regulators-learn-from-latest-banking-sector-turmoil/ Fri, 06 Oct 2023 18:42:59 +0000 https://www.advisor.ca/?p=231568 Report highlights risk management failures, supervisory shortcomings

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]]> CIRO to step up fund dealer oversight in Quebec https://phoenix.advisor.ca/news/regulation/ciro-to-step-up-fund-dealer-oversight-in-quebec/ Fri, 06 Oct 2023 17:44:58 +0000 https://www.advisor.ca/?p=231564 AMF, provincial government approve delegation of powers to SRO

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]]> Court rejects Binance’s challenge of OSC investigation https://phoenix.advisor.ca/news/regulation/court-rejects-binances-challenge-of-osc-investigation/ Fri, 29 Sep 2023 21:00:43 +0000 https://www.advisor.ca/?p=231352 Undertaking doesn't preclude regulator's enforcement action, court finds

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]]> Sustainable finance disclosure still falling short https://phoenix.advisor.ca/news/regulation/sustainable-finance-disclosure-still-falling-short/ Fri, 29 Sep 2023 18:00:47 +0000 https://www.advisor.ca/?p=231336 Firms not disclosing investments' negative ESG impact, Paris alignment

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]]> SEC, CFTC hit delete on firms’ WhatsApp, texting https://phoenix.advisor.ca/news/regulation/sec-cftc-hit-delete-on-firms-whatsapp-texting/ Fri, 29 Sep 2023 16:04:48 +0000 https://www.advisor.ca/?p=231312 Another 10 firms sanctioned for extensive recordkeeping violations

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]]> Global trade group proposes crypto regulation principles https://phoenix.advisor.ca/news/regulation/global-trade-group-proposes-crypto-regulation-principles/ Thu, 28 Sep 2023 20:59:02 +0000 https://www.advisor.ca/?p=231277 World Federation of Exchanges calls for crypto trading to face similar standards as traditional markets

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]]> U.S. fund industry slams new SEC fund-name rules https://phoenix.advisor.ca/news/regulation/u-s-fund-industry-slams-new-sec-fund-name-rules/ Wed, 20 Sep 2023 19:58:13 +0000 https://www.advisor.ca/?p=230979 Regulator aims for truth in advertising, seeks to combat greenwashing

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]]> Ex-broker pleads guilty in crypto fraud case https://phoenix.advisor.ca/news/regulation/ex-broker-pleads-guilty-in-crypto-fraud-case/ Wed, 20 Sep 2023 16:55:56 +0000 https://www.advisor.ca/?p=230953 Clients' assets misappropriated rather than invested, U.S. authorities charged

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