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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

U.K. regulator endorses tokenized fund model

Industry working group proposes model for blockchain-based funds

Receiver seeks help with failed hedge funds

E&Y invites advisors to guide securities liquidation

banking stress

Financial system still fragile, ECB warns

Effects of high rates to weigh further on economy, financial sector

Dominos falling

FSRA proposes guidance on life agent fitness

Draft guidance forms part of larger effort to improve industry conduct

Deepfakes come to investment scams, AMF warns

Regulator says fraudsters deploying increasingly sophisticated technology

Crypto coins

Founder of Binance, world’s largest crypto exchange, pleads guilty to anti-money laundering charge

The company agreed to pay more than $4 billion following an investigation

Federal Reserve

Federal Reserve minutes: Officials saw inflation slowing but will monitor data to ensure progress

Most economists say they think the central bank is done raising rates

Bitcoin cyptocurrency

SEC seeks showdown with Kraken

Crypto platform promises to fight regulator's charges

FSRA removes credit union director

The banking leader repeatedly failed to submit information to the regulator

  • By: IE Staff
  • November 21, 2023 November 21, 2023
  • 09:54
zoom call

FINRA gets green light for remote oversight

SEC approves SRO rules to facilitate work-from-home supervision