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Big binders

OSC aces audit follow-up, government needs work

Decision on tougher investor protection measures coming by end of 2025

penalty card

FINRA sanctions four brokerage houses for improper securities lending practices

Firms to pay US$2.6 million, including US$1 million in client restitution

Senate committee calls for action on housing costs

Recommendations echo affordability measures in government's fall economic statement

Aerial View of Downton Washington DC stock photo

U.S. Supreme Court signals it will uphold a tax on foreign income and leave a wealth tax for another day

Justices voiced concerns that a case challenging a provision of the 2017 tax bill would threaten other provisions of the tax code

Fines graphic

Financial intelligence agency hands down $7.5M penalty to Royal Bank of Canada

The fine announced Tuesday is the largest ever imposed by FINTRAC

Swiss bank settles U.S. tax evasion charges

Banque Pictet to pay US$122.9 million in deferred prosecution deal

Advisor tracking stocks

Returns are tough, but fund managers’ finances OK

Fitch affirms traditional managers' ratings, despite challenging conditions

Judge looks at papers

Tribunal calms SRO worries about enforcement disclosure

CIRO doesn't need an order to use compelled evidence in its own proceedings, regulatory panel says

Green globe

Carbon markets need rules too: IOSCO

Regulators launch consultation on standards, practices for carbon credit trading

Greenwashing and isolated green warning sign against white background stock illustration

IOSCO tackles greenwashing challenge

Regulators cite data gaps, lack of standards, pervasive risks as obstacles

Green globe

Assurance standards essential for sustainability reporting: IOSCO

Regulators provide feedback to assurance standards setters

dominos falling

Cutting consultations won’t cut red tape: IIAC

Trade group pushes back on Ontario's plan to shorten regulatory comment periods

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

Offshore crypto platform sanctioned in Quebec

AMF alleged that CoinEx ignored regulators' efforts to get crypto firms registered

FINRA sanctions trading oversight violations

BofA fined over anti-spoofing supervision in U.S. Treasury markets

AMT changes left out of legislation

Feds may be reviewing elements after pushback related to charitable giving

Bond counselling

FAIR Canada calls for clarity on industry titles

Investor survey highlights risks of confusion over titles and proficiency

investor protection

CSA unveils binding authority for OBSI

Regulators propose long-awaited reforms to enhance industry dispute-resolution system

Coin pile

Polluter pays principle comes to U.K. advice market

FCA to require companies to set aside capital for investor redress

Fines graphic

Conservative Supreme Court justices seem open to an attack on the Securities and Exchange Commission

Case involves appeal of a lower-court ruling that threw out stiff financial penalties imposed on hedge fund manager

Magnifying glass

Fund managers adjust ESG disclosure, communication in response to scrutiny: report

Firms are reporting increased compliance costs as they respond to ESG guidance and regulatory "sweeps"

Saskatchewan legislative assembly

Saskatchewan seeks binding dispute resolution

Proposed legislation aims to boost investor protection

Man painting pollution green

U.K. regulator steps up greenwashing fight

New product labelling and marketing rules to take effect in 2024

low yield investment

OSC warns fund managers over misleading yields

Regulator's compliance reviews find issues with performance reporting

B.C. court rejects challenge to regulator’s summons

Duty of fairness to witnesses at investigative stage is minimal but it has been met in this case, court finds

Skyline of the financial district

RBC, TD remain global systemically important banks

The FSB's annual list of banks that require extra capital and oversight shrank by one