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FINRA not to blame for firms’ return-to-office plans

SRO says post-pandemic rules facilitate flexible working models

gavel on a laptop

‘Fat finger’ trading flub ends in fines for Citi

Firm's controls failed to block massive trading goof

ICE sanctioned for cyber breach reporting

Exchange failed to immediately report VPN vulnerability exploit

Stealing money

Trader gets jail time for front-running scheme

Pair exploited inside knowledge of pension giant's trading plans

gavel on a laptop

Crypto money launderers busted: DoJ

U.S. charges foreign nationals for allegedly laundering proceeds of "pig butchering" schemes

Blue spikes

SEC beefs up data privacy rules

Changes will raise demands on firms to warn investors about breaches

FCA charges finfluencers over social media posts

U.K. regulators allege an unregistered FX trading scheme was touted on Instagram

Pair charged in ‘crypto king’ scheme

Joint investigation by OSC and Durham police results in fraud charges

Cyber attack

US$25 million gone in 12 seconds, DOJ alleges

Brothers charged in alleged novel blockchain hack

Whistleblower

OSC gives whistleblower $300,000 reward

Tipster alerted regulator to hard-to-detect misconduct

Greenwashing and isolated green warning sign against white background stock illustration

ESMA finalizes anti-greenwashing guidance

Regulators issue advice to fund managers on ESG terms in fund names

Court rejects challenge to SEC’s ESG disclosure rule

States failed to establish standing to oppose the rule

CFTC sanctions crypto intermediary

Firm allegedly helped U.S. investors evade controls against offshore platforms

Abstract lines

Shift to T+1 poses short-term risk: Moody’s

Ultimately, reduced settlement cycle will pay off for overall financial system

U.S. flag and voting stickers

CFTC to draw line between gambling, futures trading

Regulator seeks to outlaw derivatives on election outcomes, sports, other events

Capital raising shifts further to exempt market in Quebec

Prospectus filings decline, exempt offerings up in 2023, AMF reports

a bright idea

OSC tests new early-stage exemptions

Regulator adopts new exemptions designed to help startups raise capital

Binance hit with $6-million Fintrac fine

Firm sanctioned over reporting, registration failures

U.S. banks undertake blockchain experiment

Project to examine streamlining settlement for money markets

Banned

Former fund rep sanctioned for exceeding registration

Fund rep could fill out basic information, but not KYC info, on investment dealer accounts

consultation discussion

ESMA consults on retail crypto funds

Regulator contemplates expanding eligible assets for retail investment funds

IOSCO chief heads to FSB

Global group of regulators seeks new secretary general

U.S. regulators revive incentive pay proposals

Rules were initially crafted to discourage excessive risk taking in the wake of the global financial crisis

Silhouette of man at sunset

OSC to increase focus on DIY investors

The regulator also wants to toughen enforcement and see better advice given at banks

Queen's park, Ontario

FSRA chief tapped for Ontario Energy Board

Proposed appointment still needs to be confirmed by legislative committee