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ESG investing

ESMA seeks simpler ESG rules for benchmarks

Compliance reviews finds divergent ESG disclosures by benchmarks

Crypto coins

Insurers shun crypto under tough capital rules: Fitch

European regs propose tougher capital treatment than global bank regs

Wall street

Wall Street facing flat revenues, amid wild volatility

Trading revenues strong, investment banking mixed in Q1: Moody's

rules and regulations

FCA aims to be a smarter, pro-growth regulator

New agenda outlines plans to curb compliance burden, facilitate innovation

Judge's gavel with magnifying glass on black.

CIRO tribunal erred, BCSC panel rules

Provincial regulator orders case returned to the SRO to be reconsidered

papers on a desk

NASAA adopts ‘best interest’ in model rule

Group's conduct rule adds Reg BI, misleading title, provisions

Banned

Ex-rep admits to misappropriating millions

Former Assante rep agrees to ban, $2.3 million in sanctions

Sustainable investing

ESMA aims to inspire confidence in green bonds

Regulator consults on standards for external reviewers of green bond offerings

penalty card

Rating agency fined by ESMA

Firm breached rules by implying regulators endorsed ratings

Canadian laws

Court approves smaller payout to Bridging investors

Initial distribution to unitholders in BFI funds cut by $170 million

Old and new sign

FCA seeks to overhaul alt manager regime

Policymakers aim to make it easier to enter and comply with rules in the U.K.

Crypto coins

Stablecoins probably aren’t securities either: SEC

The cryptoassets are used for commercial purposes, not as investments, regulator says

Crypto currency

Stung by the FBI, crypto firm sentenced

Firm pleaded guilty to fraud, conspiracy charges amid wash trading allegations

Picking a dollar

OSC rule codifies trailer fee relief

Measure allows trailer rebates to facilitate compliance with ban on paying trailers to discount brokers

penalty card

Former fund rep fined, banned over failed venture

Rep lost money alongside clients in unapproved outside investment

virtual regulation

IOSCO highlights gaps in principles adoption

Review covers implementation of systemic risk, regulatory perimeter processes

bitcoin investment concept on screen

OSC approves crypto-backed lending

Firm allowed to offer loans collateralized by bitcoin, ether

Illustration of a businessperson using a magnifying glass to examine files

OSC seeks settlement with prediction market

Betting events amounted to binary options, regulator alleges

Senior couple

FINRA touts success of senior helpline

Service has helped recover money for investors, generated enforcement referrals

Board room discussion

Most of CSA hands registration to CIRO

All provinces expected to join effort to curb duplication, burden

Australian finances

Aussie regulators sound alarm on ASX

ASIC, RBA highlight operational risk worries at exchange

Digital insurance concept

Geopolitics, cyber risk top stability threats

European regulators call for heightened vigilance to array of risks

Pile of cryptocurrency coins

FDIC, CFTC retract past crypto guidance

U.S. regulators ease barriers to crypto-related activities

Rules and regulations

CIRO details plans for fund dealer margin accounts

SRO limits margin accounts to Level 4 dealers in final phase of rule consolidation project

Fraud

U.S. advisor gets jail for duping firm, clients

Ex-Morgan Stanley advisor pleaded guilty to fraud, other charges