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TD settles sales practices class action

Bank to pay $22 million while denying fund manager's allegations

Treasury proposes new anti-money laundering regulations for U.S. investment advisers

New rules would require advisers to file reports with the government when they suspect clients of suspicious activity

SRO must hand out sanctions before appeal

MSC rules it's premature to hear an appeal until SRO case completed

U.S. Supreme Court upholds whistleblower protections

Analyst was fired after claiming traders tried to influence research

SEC sanctions brokers’ texting

Firms failed to ensure that all communications went through approved channels

A person inside a financial maze made out of hedges.

SEC, CFTC boost private funds’ reporting

Regulators aim to enhance systemic risk oversight, investor protection

Exec convicted in crypto manipulation scheme

Trading bot used for wash trading, spoofing crypto token

People icon

New SEC dealer rule sparks concern

Fund industry critics worry about rules' impact on liquidity, costs

Cheater

FSRA tightens LLQP exam-taking process

Regulator adopts tougher penalties for cheating, restrictions on rewriting

right or wrong choice

FINRA revises arbitration rules

Changes come in the wake of independent review of SRO's arbitration program

Pile of cryptocurrency coins

Crypto firm settles with SEC, state regulators

Interest-earning program violated state, federal securities laws, regulators alleged

Former PI exec fined, banned in Ng fraud

Firm's executive aided Ng's scheme to raise funds with falsified collateral

Tiff Macklem

Don’t look to the BoC to solve Canada’s housing and economic woes, Macklem says

The central bank says shelter costs are now the primary driver of above-target inflation

social media

Social media’s market manipulation risk

European regulators flag threats to investors from industry, influencers

Woman working from home

Employees working from home by choice can claim expenses, CRA says

Agency releases guidance on home office expenses for 2023

Federal government extends foreign buyer ban on Canadian homes to 2027

The government said it knows Canada's housing challenge won't be solved by the end of 2024

Crypto trading teacher hacked, looted: SEC

Students defrauded into financing fictitious AI-powered hedge fund

U.S. investor advocates take aim at RIA arbitration

Firms use forced arbitration to discourage clients from pursuing complaints

Amazon

BigTechs’ foray into financials draws scrutiny

European regulators worry about oversight weaknesses

Banks on money pile

Federal banking regulator sets final guidelines around integrity and security

Guidelines from OSFI come after the feds expanded the regulator’s mandate last June to cover those areas

Rep banned after misappropriating money from client

SRO panel found the rep opened banking products, including a line of credit, in the client's name

Trailer fee class action gets green light

Fourth case certified involving funds paying trailers to discount brokers

Real estate

ESMA flags alt fund leverage, liquidity threats

Real estate funds pose potential systemic risks, report says

U.S. charges trio in massive crypto pyramid scheme

SEC, DoJ file allegations against HyperFund promoters

Crypto coins

Crypto tokens were securities, settlement says

Tribunal accepts settlement with crypto project founders, including more than $1.5 million in sanctions