Home News From the Regulators Page 11

Latest news in From the Regulators

Judge looks at papers

Pre-IPO schemes in U.S. authorities’ crosshairs

Unregistered investment funds are allegedly costing investors millions

Businessman examines statistics on a page

CCIR plans overhaul of complaints system oversight

Reforms follow a review that found shortcomings in existing arrangements

trader at desk

U.S. applauds T+1, in no hurry for T+0

Shorter settlement cycle has succeeded in reducing risk, freeing up capital

Frankfurt, Germany - November 09, 2020: European Central Bank ECB, EZB headquarters at Eastend Frankfurt, Germany. The European Central Bank (ECB) is the central bank of the Eurozone. Close-up of the logo in front of the building.

European Central Bank cuts rates, again. Next up: The Fed

Inflation in Europe is now down to 2.2%, close to the bank’s target of 2%

TD bank. stock photo

TD sanctioned for credit reporting violations

Bank repeatedly shared wrong information with credit reporting agencies, CFPB alleged

AI computer

Investors open to AI input on financial advice, report finds

OSC finds investors favour human-AI combo, no fear of AI advice

Handshake between robot and human, AI generated image

Hands off AI, SIFMA urges regulators

Trade group calls for tech-neutral, principles-based approach to regulation

usinesswoman studies financial market to calculate possible risks and profit

Financial stability risks remain elevated, regulators say

European regulators call for vigilance amid economic, geopolitical uncertainties

Hand putting Coins in glass jar with retro alarm clock for time to money saving for retirement

Pension regulators unveil new guidance

CAPSA replaces 2004 guideline, consolidates risk management guidance

Dogecoin

Crypto ATM operator faces first FCA charges

Regulator brings first case alleging breach of money laundering rules involving unregistered crypto activity

The Australian Coat of Arms in metal hangs on the glass wall of a building that reflects another high-rise across the street.

ASIC calls for distribution improvements

Poorly designed KYC questionnaires at the heart of recent enforcement actions

Judge looks at papers

U.S. court orders disgorgement in binary options case

Investors lost over US$100 million in illegal scheme, CFTC alleges

Greenwashing and isolated green warning sign against white background stock illustration

Firms get more time for FCA greenwashing rules

Complying with new ESG naming requirements proving harder than expected for some firms, regulator says

Business lawyer team. Working together of lawyer in the meeting.

SEC tackles companies’ anti-whistleblower provisions

Seven companies settle allegations that labour contracts violated SEC rules

Lightbulb drawn around tree image, indicating sustainable ideas

Environmental groups should be held to same anti-greenwashing standards: CAPP

Group says the new law effectively silences climate policy discussion

  • September 5, 2024 September 5, 2024
  • 14:26
Judge looks at papers

Investors must be free to talk to regulators: SEC

Firms settle allegations that confidentiality deals impeded communications with regulators

Illustration of a businessperson using a magnifying glass to examine files

OSC enforcement summonses coming to your inbox

Government proposes easing service requirements for investigative notices

Bank of Canada note

BoC cuts key rate again, signals more cuts ahead

The key lending rate is now 4.25%

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Rating agencies settle SEC texting charges

Firms failed to capture employees' private texts, WhatsApp chats

Crumbling bank

Regulators divided on digital bank runs: Fitch

Approach to guarding against deposit flight risk remains unsettled

US dollar

The Fed welcomes a ‘soft landing’

Most Americans, however, are not in the same celebratory mood after the Fed's rate hike campaign

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Court upholds $9 million in sanctions, disgorgement

Appeals of Tribunal's merits and sanctions decisions rejected

Judge looks at papers

Court rejects appeals from fund rep, OSC

Both sides appealed rulings involving rep inheriting client's estate

bitcoin investment concept on screen

On custody, crypto should follow tradition: WFE

Trade group issues recommendations for crypto custodians

Concept of a person with many questions

European markets vulnerable to correction

Fund liquidity and credit quality risks loom amid uncertain outlook, says ESMA