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CIRO to step up fund dealer oversight in Quebec

AMF, provincial government approve delegation of powers to SRO

diversity

Progress for women in top roles plods along

The proportion of women CEOs in the CSA's sample remains 5%, as in the past three annual reports

  • By: IE Staff
  • October 6, 2023 October 6, 2023
  • 11:42
rules and regulations

CSA issues new guidance for stablecoins

Regulators set interim rules for fiat-backed cryptoassets

Advisor tracking stocks

Europe sets sights on T+1, or even T+0

ESMA launches consultation on reducing settlement cycle

Bitcoin cyptocurrency

MX to launch Bitcoin futures

New cash-settled index futures to arrive in January

CSA to combine disclosure, delivery reforms

Regulators to marry changes to disclosure rules with electronic access

Crypto money

OSC alleges crypto custody failure

Regulator says the CoinField platform didn't have adequate assets to satisfy withdrawal requests

Fraudster imprisoned

Ponzi perpetrators get permanent trading ban

Convicted fraudsters banned by Ontario tribunal

ESG letters

Funds using more generic ESG lingo

European regulators flag growing greenwashing risk

Judge makes ruling

Court rejects Binance’s challenge of OSC investigation

Undertaking doesn't preclude regulator's enforcement action, court finds

Green planet

Sustainable finance disclosure still falling short

Firms not disclosing investments' negative ESG impact, Paris alignment

Using phone for finances

SEC, CFTC hit delete on firms’ WhatsApp, texting

Another 10 firms sanctioned for extensive recordkeeping violations

Pile of cryptocurrency coins

WFE proposes crypto regulation principles

Trade group calls for crypto trading to face similar standards as traditional markets

Trading of shares of heavily indebted property developer China Evergrande suspended in Hong Kong

The firm said chairman Hui Ka Yan was subjected to ``mandatory measures in accordance with the law due to suspicion of illegal crimes"

Wall Street analyst charged in insider trading probe

SEC, SDNY file securities fraud and conspiracy charges

rules and regulations

CSA finalizes derivatives conduct rules

Canada remained the last G20 country without conduct standards for OTC derivatives markets

jail bars

Fake Epstein investigation fraudster gets jail

Serial scammer duped companies out of over US$1 million to fund fictional investigations

Crypto coins

Crypto Ponzi schemer sentenced

Investors were promised profits from crypto trading and mining

FP Canada calls for fee fairness under title protection

FSRA's fee rule for credentialing bodies exempts CIRO from full costs

BCSC settles with participants in consultant scheme

Firm admitted insider trading, abusive market conduct

Wooden blocks with percentage sign and arrow up, financial growth, interest rate increase, inflation concept

With costs projected to increase 9% in fiscal 2024, CIRO’s fees are also heading higher

Fees for investment dealers to rise 6.4%, annual report says

Picking a dollar

Podcaster perpetrated Ponzi scheme, SEC alleges

Regulator says host touted real estate investment scheme that took US$11 million from investors

Fines graphic

SEC sanctions Deutsche Bank for greenwashing, AML violations

The firm's U.S. advisory unit will pay US$25 million to resolve charges

diversity

U.K. regulators seek to boost diversity, combat groupthink

The proposals include guidance for firms to take action against bullying and sexual harassment

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.

Interest rates will stay high ‘as long as necessary,’ ECB leader says

The ECB this month raised its benchmark deposit rate to an all-time high of 4%