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Judge looks at papers

Small firms need living wills: OSC

Regulator calls for continuity plans at one-man shops

man working on laptop

CIRO proposes personal corporations for reps

SRO consults on options for resolving long-standing regulatory disparity

Ex-fund rep banned for borrowing from widower

Client cashed RRSPs, paid DSCs, and took credit card advance to lend to rep, regulator alleged

natural environment

Global Reporting Initiative revamps biodiversity reporting standard

Revisions aim to enhance corporate transparency to investors, policymakers

Magnifying glass

SEC tightens the screws on SPACs

New rules beef up disclosure, investor protections around shell company financings

China flag

China cuts required bank reserves

Move appears to be part of a concerted effort to stabilize the markets

UBS-Credit Suisse merger sparks calls for reform

Swiss financial regulator gets a new leader as it looks to boost scrutiny of the bank

Crypto coins

Most crypto communications may be offside: FINRA

Compliance review finds potential violations in 70% of firms' messages

Judge makes ruling

PwC plans payouts to Bridging investors in 2024

Almost $300 million in disputed claims must be resolved before distributions can start

Bank of Canada headquarters

All eyes on the BoC this week for any hints on when it plans to cut interest rates

The bank will also publish its quarterly monetary policy report on Wednesday, with new forecasts for the economy and inflation

Crypto money

Cherry-picking crypto trades lands CEO in jail

Commodities advisor hit with first charge of illegally allocating crypto trades

Crypto scheme’s CEO arrested, charged

Firm fled in face of regulatory attention, prompting investor losses, U.S. alleges

Downtown Toronto Financial District Skyscrapers stock photo

OSFI increases focus on money laundering

The intensity of money laundering risk is underappreciated, Routledge says

Financial firms lead rise in class action payouts

Mega-settlements drive global settlements to a five year high, ISS unit reports

Investors recover pennies on the dollar

As millions in sanctions remain unpaid, BCSC orders $70,000 to be returned to investors

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