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Tribunal sanctions pair in novel insider trading case

Penalties send important message to Street about risks of selective disclosure, tribunal says

dominos falling

Basel Committee approves banks’ crypto disclosure, capital regime

Standards to be published later this month and take effect in 2026

Post-crisis reforms working, FSB finds

Measures to address securitization market failures reduced risk without curbing lending

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

BCSC, fund manager settle compliance issue case

Firm resolved allegations of KYC, suitability, conflict failures

Bitcoin cryptocurrency with a pile of coins and smartphone, Vector illustrator

Crypto bank sanctioned for alleged oversight failures

SEC, Fed penalize FTX's bank, Silvergate, executives

Sustainable investing

Nature risk disclosure on the rise

As pledges to adopt recommendations climb, taskforce issues implementation guidance

Businessman talking with financial advisor in bank

Advisor usage declines, CSA survey finds

Investors enjoy DIY investing, relying more on social media for information

Investors recoup a bit from B.C. securities fraud

Victims set to recover $2.1 million — a small fraction of their losses

Solar system

Firms’ AI adoption poses compliance challenges: FINRA

U.S. SRO highlights regulatory implications

Judge looks at papers

U.S. Supreme Court curbs SEC authority

Fund manager denied right to a jury trial by internal tribunal, majority says

priority

Advisor incorporation among CIRO’s priorities for 2025

SRO integration and investor protection also on the agenda

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