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Who watches the watchers? Best practices for independent review committees

Fund managers should use the recent regulatory review as a means to improve their IRCs

Crypto crime, but make it old school

Violent robbery crew targeted crypto investors

gavel on a laptop

First crypto securities fraud convicts sentenced

Crypto ruled a security by U.S. criminal jury for first time

Appeal Court upholds BCSC ruling

Court declines to overturn panel's conclusions in market manipulation case

SEC alleges CEO engineered short squeeze

Company completed offering while valuation was inflated, regulator says

Review process

FSRA review finds compliance with seg fund DSC ban

Regulator reviewed 54 information filings from 14 insurers

  • By: IE Staff
  • June 24, 2024 July 10, 2024
  • 16:24
Computer screen

TSX proposes changes to listing rules

Proposals seek comment on adjustments to listing requirements for industrials, miners and energy companies

Crypto collectibles scheme duped investors, OSC alleges

Regulator alleges venture was a "multi-layered" fraud

Euro trading

FCA, police raid crypto platform

Unregistered exchange traded more than £1 billion in crypto, authorities allege

Trading games drive heavier, riskier activity: FCA

Younger, female, low-literacy investors are particularly vulnerable to digital tactics, study shows

EMDs allowed to play in prospectus deals

Regulators adopt temporary measure to expand capital raising options

U.S. Supreme Court upholds a tax on foreign income

Justices left in place provision of 2017 tax law expected to generate $340 billion, mainly from foreign subsidiaries of domestic corporations

Crypto coins

Binance Holdings appeals $6M Fintrac fine

Cryptocurrency exchange says it does not direct its services at those in Canada

Greenwashing and isolated green warning sign against white background stock illustration

Euro regs seek to simplify sustainability disclosure

Current rules too complex, pose greenwashing risks

Judge looks at papers

B.C. court rules on limits to powers of attorney

Gift to son denied, as it wasn't specifically set out in POA

EU to delay key Basel III measure

Policymakers cite need to maintain a level playing field with U.S. banks

Canadian flags in business district

OSFI maintains domestic stability buffer at 3.5%

The federal banking regulator says financial system vulnerabilities remain elevated but stable

Crypto fraud case focuses on promises to investors

Tokens alone didn't qualify as securities, regulatory tribunal rules

Advisers didn’t disclose work with short-sellers: SEC

Fund's strategy included working with publishers of bearish articles

gavel on a laptop

Crypto platform to pay US$4.5 billion in SEC deal

Resolution follows finding that Terraform Labs and its founder are liable for securities fraud

Climate change board

Tackling climate risk with existing, imperfect data

Regulators in Singapore develop a model for getting early insights on climate risk

Judge looks at papers

Recovery for Bridging investors grinds along

Court asked to approve loan sale as part of receiver's ongoing efforts

Hand stopping dominos

FSRA refuses licence over false CE certificates

Agent deemed unsuitable after deceiving regulators about continuing education

U.S. fund manager admits fraud in failed funds

Allianz Global Investors funds hid risk, then collapsed during pandemic

Boiler room brokers not easily deterred: SEC

Three men charged for repeatedly running a pre-IPO share scheme