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Judge looks at papers

Tribunal stays OSC fraud case

Panel found respondent couldn't mount proper defence without access to confidential evidence

Judge's gavel with magnifying glass on black.

OSC seeks extended cease trade against hedge fund

Regulator investigating amid suspected trading misconduct

Treasury traders rebuff SEC reforms: Greenwich

Survey finds investors don't see the need for major overhaul

European Union headquarters

Leaked memo reveals financial sector would be excluded from EU net-zero law

Critics say proposed changes to the Corporate Sustainability Due Diligence Directive would make it unenforceable

  • By: Ed Davey
  • November 14, 2023 November 14, 2023
  • 09:28
dominos falling

CCPs to run first-ever global ‘fire drill’ this week

Will review the readiness of CCP staffs, procedures and IT systems for a major firm default

fraud

CRA’s 10% interest rate on overdue tax raises risks

Proposed legislation extends reassessment period

puzzle piece

AMF names new enforcement chief

Interim executive director, Eric Jacob, to take the role permanently, starting Nov. 13

‘Cryptoqueen’ associate pleads guilty

Player in OneCoin global crypto pyramid scheme admits to fraud, money laundering charges

Advisor tracking stocks

MX proposes new trading functionality

Exchange aims to enhance appeal with new order type and automation

Wall Street trader charged with market manipulation

Former trader facing fraud allegations in U.S. Treasuries market

crypto currency regulation

OSC seeks new fees for crypto firms

Added costs of registering crypto platforms drives new tariffs

Cyber-risk oversight a new top priority: ESMA

Compliance concern joins greenwashing as a focus for European regulators

Citibank

Citi sanctioned by CFPB for discrimination

Bank allegedly denied credit to customers of Armenian descent

Judge looks at papers

Rep banned, fined over client conflicts

Former fund rep was named in clients' wills and solicited money from them

cryptoassets regulation

Crypto crimes account for half of CFTC enforcement

Regulator saw several high-profile cases against crypto giants

whistleblower

BCSC offers whistleblower awards

Regulator to pay between $1,000 and $500,000 for enforcement tips

Silhouette of man at sunset

CIRO sympathetic to industry challenges with new conflict disclosures

Kriegler acknowledges additional burden to advisors resulting from regulatory changes

CIRO settles with dealer over capital shortfalls

Firm sanctioned over capital issues, internal controls and record-keeping

Crypto currency

U.K. proposes stablecoin regulations

FCA, BoE seek regime that allows innovation, ensures protections

Former rep fined, banned for taking loans from clients

Panel defers penalties while ex-rep repays clients

advisor and client meeting

AMF consults on total cost reporting for seg funds

Draft rules out for comment, expected to take effect in 2026

RBC settles internal controls case with SEC, OSC, AMF

Accounting for internal software development violated securities rules

Crypto money

U.K.’s FCA issues guidance on new crypto rules

Regulator aims to facilitate compliance with new regime

Ex-Goldman banker gets jail for insider trading

Banker tipped pal with inside info on potential M&A deals