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WFG, IA fined in connection to alleged unlicensed insurance agent

FSRA is also proposing a penalty of $80,000 for the individual involved

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Regulators eager for responses to sustainability disclosure consultation

Comments on the Canadian Sustainability Disclosure Standards are due June 10

Doing Homework

FCNB joins fight against LLQP cheats

Regulator follows CISRO, FSRA with tougher exam administration policy

Former FTX exec gets jail time

Crypto executive sentenced on federal conspiracy charges

FAIR Canada applauds Saskatchewan’s OBSI bill

"Landmark" legislation is significant step forward in protecting investors, organization says

Magnifying glass

FSRA seeks CRM2-like disclosures for seg funds

Proposal would require seg fund disclosure of embedded costs

Stormy waters

OSFI confronts rising liquidity risks

Regulator consults on revisions to boost intra-day liquidity insight

Magnifying glass on documents

ESMA reviews find disclosure, greenwashing issues

European regulators call for enforcement action on compliance failures

CFTC sanctions trading oversight gaps

Technical glitch prevented comprehensive trade surveillance by JP Morgan

HSBC fined for fairness failures

Bank's treatment of customers in financial difficulty sparks sanction from U.K. regulator

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Basic products, advice needed to boost investing: ESMA

European regulators make recommendations for revitalizing capital markets

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

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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

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

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