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OSC seeks settlement with crypto scheme

Regulators allege Axia Project misled investors with unregistered offering

Life in time of COVID-19: Mature woman working on computer from home at the stand up desk. She has long grey hair and dressed in casual black outfit. Interior of living room set up with home office station, next to window.

More employees will be asking companies for home office expense tax forms this year

The CRA is no longer offering the flat-rate method to claim employment expenses for 2023

Wall Street analyst pleads guilty to insider trading

Trio traded on inside information about pending mergers and acquisitions

Morgan Stanley sanctioned for misusing block info

Firm and executive settled charges with SEC, SDNY

stock market data

CIRO aims to beef up short-selling requirements

Self-regulatory organization proposes new settlement obligation and expanded guidance

FSRA fines former life agent $60K for recruitment scheme

Licensee was contracted with one of three MGAs reviewed for tiered recruitment model

European regulators to review pre-trade controls adopted to prevent flash crashes

Guards against "fat finger" error to face regs’ scrutiny

Disclosure form

CSA adopts electronic access model for company prospectuses

Move aims to reduce the burden of printing and mailing disclosures to investors

Crypto currency

Regulators approve new bitcoin funds in move that could spur more investment in the digital currency

The SEC said it is finishing the approval of 10 exchange-traded funds for bitcoin

  • By: Ken Sweet
  • January 10, 2024 January 10, 2024
  • 17:29

Investor, seniors advocates join OSC committee

Policy group advises regulator on policy, operations, investor education

Houses

Securities markets vulnerable to real estate: ESMA

Regulators find investment funds, firms exposed to sector's stress

cryptocurrencies

SEC chair denies social media post about bitcoin ETF approval

Gary Gensler says SEC's account on X was hacked

  • By: Ken Sweet
  • January 10, 2024 January 10, 2024
  • 08:45
papers on a desk

FINRA reveals evolving compliance threats

SRO sees crypto, AI and new account fraud among emerging issues

Entrance to Financial Services Regulatory Authority of Ontario

FSRA tightens the screws on seg fund DSCs

New measures address the use of DSCs with existing contracts

home financing

Maintaining mortgage stress test a positive: Fitch

Relaxing mortgage rules could help borrowers but also boost credit risks

Securities class action against mining company moves toward settlement

The company's underwriters were dropped from the proposed class action

Former fund rep fined, banned over forgery

Rep recruited tenant as a client without firm's permission

Bridging priority case won’t see Supreme Court

Investors' lawyers decline to appeal reversal of novel ruling

HSBC fined over DIY client fee errors

Certain clients overcharged, others undercharged, due to recordkeeping glitch

CIRO fines Canaccord Genuity Corp. $500K for trading supervision failures

The breaches related to more than 10,000 wash trades

SEC shutters crypto-based structured product

Fixed-income notes based on crypto must be registered, regulator alleges

TD reaches NSF fee class action settlement

Similar cases remain outstanding against the other big banks

SEC awards US$28 million to seven whistleblowers

One individual and two sets of joint tipsters share rewards

Serial fraudsman gets jail time

Alberta man behind long-running scheme sentenced to four years

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

CIRO sanctions dealer’s supervisory lapses

Calgary's Leede Jones Gable fined $150,000 for oversight failings