Home News From the Regulators Page 25

Latest news in From the Regulators

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

Judge looks at papers

SRO panel takes softer line on sanctions

The panel found a rep's misconduct to be serious, but not fraudulent or deceitful

client meeting

Investors blindly trust advisors, FAIR Canada finds

Study participants preferred to rely on the knowledge of professionals rather than learn about investing

Bank buildings

Banks, insurers falling behind on climate risk

OSFI says financial firms need to pick up the pace on climate impacts

crypto currency regulation

ESMA consults on crypto guidance

Regulator to finalize new guidance by the end of 2024

Rep fined, banned in CIRO settlement

Former rep admitted to misappropriation

BCSC hits fraudster with heftier fine

Panel said penalty should be bigger than regulator requested

How to comply with regulators’ guidance on awards

Canadian insurance regulators have not issued a similar warning

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

Tribunal trims sanctions against former rep

After partly overturning SRO's ruling, tribunal reduces fine, disgorgement orders

Proposed trailer fee class action denied again

Firms were allowed to collect trailers before the CSA ban, court rules

Crypto Queen’s lawyer lands in jail

Money laundering lawyer gets 10 years in prison