Home News From the Regulators Page 21

Latest news in From the Regulators

ESMA grapples with securities financing

Regulator publishes first examination of opaque market segment

concept of time

Momentum building for T+1 in Europe

Industry trade groups line up behind U.K.'s call for move by 2027

a man pushing a giant ball while others push squares

Rep incorporation proposals prove to be sticky wicket

Industry divided on, investor advocates opposed to, reforms

FCAA sanctions real estate scheme operators

Settlement includes 20-year market bans, monetary sanctions

BMO Nesbitt sanctioned for supervisory shortcomings

Firm failed to adequately oversee rep's risky trading strategy, CIRO says

Entrance to Financial Services Regulatory Authority of Ontario

FSRA takes enforcement action against MGA

Regulator suspends firm and agents amid alleged misconduct

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

Fund dealer chief sanctioned for misleading SRO

Terms of firm's sale weren't fully disclosed to regulators

SEC pauses climate rule amid legal challenges

The rule is pending review in the U.S. Court of Appeals for the Eighth Circuit

Crypto queen’s compliance chief gets jail

OneCoin scheme took in over US$4 billion from investors, U.S. authorities allege

SEC sanctions advisory firm for private messaging

Off-channel communications hamper regulatory oversight

tightrope

Risks arise as exchanges evolve, IOSCO says

Expansion of business lines multiplies conflicts and regulatory challenges

Crypto coins

Coinbase Canada gets CSA registration

Crypto firm to pursue full dealer and ATS registration, plus SRO membership

U.K. consults on a digital securities sandbox

Consultation paper on test environment for trading, clearing digital assets will be open for feedback until May 29

Ex-rep’s crypto trading attracts SRO sanctions

Involvement with crypto amounted to undisclosed outside business activity, personal financial dealings

Green globe

ESMA adding ESG factors to rating agency rules

Proposals aim to improve quality, transparency of credit ratings

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