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Gavel and texts

Court rejects OSC’s crypto fraud allegations

Regulator failed to meet burden of proof on all counts

Desjardins sanctioned in MX settlement

Trader placed numerous potentially misleading orders in bond futures

Review process

CIRO gets clean bill of health from CSA

First oversight review finds SRO complying with recognition order

Papers with text, treasury bonds on a table, business concept. stock photo

Shining more light into Treasury markets

FINRA starts providing data on individual transactions

Sam Bankman-Fried sentenced to 25 years in prison

Crypto entrepreneur's massive fraud unraveled with the collapse of FTX

Review process

FSRA flags few issues at credentialing bodies

Regulator reports results of first supervisory reviews at planner/advisor titling organizations

Court ruling

Margin call claim must go to trial

Question of whether client used stop loss orders requires hearing, court rules

right or wrong choice

SEC tightens robo exemption

Regulator aims to bolster investor protection, modernize rules

businessman behind bars

U.K. trader at heart of rate scandal loses appeal

Tom Hayes said his case is “not consistent” with laws in France, Germany and the U.S.

Queen's Park, Ontario, Canada

Ontario budget voices support for OBSI reform

Government endorses OSC's investor protection, capital formation efforts

European Union headquarters

ESMA consults on green bond scrutineers

Consultation proposes registration, supervisory standards for independent reviewers

social media

FCA warns firms, finfluencers about misleading memes

Reels, streams and more must comply with rules against misleading ads, regulator says

CFTC, SDNY charge crypto platform

KuCoin platform accused of registration, money laundering violations

cryptocurrencies

ESMA finalizes first set of crypto standards

Regulators craft detailed standards to implement new crypto regime

Stealing money

ASC sanctions strip-mall developers

Over $3.4 million of investors' money was diverted to undisclosed uses, regulators found

ESMA sanctions rating agency

European regulator said violations involved conflicts of interest

FinTRAC still coping with cyberbreach

Agency says no evidence that information was lost in attack

Light bulb

Regulators keep savvy-investor exemption

After pilot program, ASC, FCAA maintain exemption based on financial knowledge

Advisor tracking stocks

Europe hesitant over T+1 move

ESMA consultation finds mixed feelings on shorter settlement cycle

Fund managers need to spruce up IRCs

OSC, AMF call for freshening up fund governance

Green globe

SEC climate rule prompts a rush to sue

Experts say companies are likely to prepare to comply anyway

Court upholds tribunal findings in Amaya case

Appeals by advisor, analyst in insider trading case dismissed

Retirees

FCA finds fault in firms’ retirement advice

Regulator details results of review, calls for action from firms

Vacation pay

B.C. court certifies vacation pay class action

Lawsuits seeks damages for certain BMO advisors

Rep called out after strike two

Ban, fine of $300K follow repeat episode of unapproved outside business activity