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new rules

CIRO revises derivatives rules for dealers

First phase of reforms to take effect Sept. 28

cryptocurrencies

CSA sets rules for crypto funds

Regulators seek to codify initial investment restrictions, custody provisions

Global regulators add guidance on margin practices

IOSCO, Basel Committee recommendations target non-central clearing markets

Frankfurt, Germany - November 09, 2020: European Central Bank ECB, EZB headquarters at Eastend Frankfurt, Germany. The European Central Bank (ECB) is the central bank of the Eurozone. Close-up of the logo in front of the building.

Cutting interest rates too soon in Europe risks progress against inflation, central bank chief says

Sluggish economic growth and the impact of higher interest rates on economic activity have sparked bets on rate cuts

natural environment

Early adopters to start nature risk disclosures

More than 100 financial firms have committed to the TNFD recommendations

Trader at computer screen

Global regulators issue margin proposals

Measures aim to address lessons of market turmoil in early 2020 and 2022

Modern office building close up in sunlight

Trade groups seek changes to Basel III endgame

SIFMA, ISDA say final rules would lead to excessive capital requirements

Top Federal Reserve official says inflation fight seems nearly won, with rate cuts coming

Member of the Fed's board of governors noted that inflation is slowing even as growth and hiring remain solid

JP Morgan to pay US$18 million over confidential settlements

The SEC sanctioned the firm for violating whistleblower protections

Man painting pollution green

U.K. regulator recruiting advisors to anti-greenwashing fight

FCA forms working group to enhance advisor expertise in sustainable investment

OSC seeks settlement with crypto scheme

Regulators allege Axia Project misled investors with unregistered offering

Life in time of COVID-19: Mature woman working on computer from home at the stand up desk. She has long grey hair and dressed in casual black outfit. Interior of living room set up with home office station, next to window.

More employees will be asking companies for home office expense tax forms this year

The CRA is no longer offering the flat-rate method to claim employment expenses for 2023

Wall Street analyst pleads guilty to insider trading

Trio traded on inside information about pending mergers and acquisitions

Morgan Stanley sanctioned for misusing block info

Firm and executive settled charges with SEC, SDNY

stock market data

CIRO aims to beef up short-selling requirements

Self-regulatory organization proposes new settlement obligation and expanded guidance

FSRA fines former life agent $60K for recruitment scheme

Licensee was contracted with one of three MGAs reviewed for tiered recruitment model

European regulators to review pre-trade controls adopted to prevent flash crashes

Guards against "fat finger" error to face regs’ scrutiny

Disclosure form

CSA adopts electronic access model for company prospectuses

Move aims to reduce the burden of printing and mailing disclosures to investors

Crypto currency

Regulators approve new bitcoin funds in move that could spur more investment in the digital currency

The SEC said it is finishing the approval of 10 exchange-traded funds for bitcoin

  • By: Ken Sweet
  • January 10, 2024 January 10, 2024
  • 17:29

Investor, seniors advocates join OSC committee

Policy group advises regulator on policy, operations, investor education

Houses

Securities markets vulnerable to real estate: ESMA

Regulators find investment funds, firms exposed to sector's stress

cryptocurrencies

SEC chair denies social media post about bitcoin ETF approval

Gary Gensler says SEC's account on X was hacked

  • By: Ken Sweet
  • January 10, 2024 January 10, 2024
  • 08:45
papers on a desk

FINRA reveals evolving compliance threats

SRO sees crypto, AI and new account fraud among emerging issues

Entrance to Financial Services Regulatory Authority of Ontario

FSRA tightens the screws on seg fund DSCs

New measures address the use of DSCs with existing contracts

home financing

Maintaining mortgage stress test a positive: Fitch

Relaxing mortgage rules could help borrowers but also boost credit risks