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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%

Close up of businesswoman using calculator while going through financial bills.

CRA offers no relief on stiff penalties for late-filing UHT returns

Tax agency releases underused housing tax self-assessment tool

rules and regulations

CSA proposes WKSI model

Proposal aims to ease regulatory costs, encourage capital formation by mature issuers

Crypto company wrong to cancel options, court finds

Power to award options lies with board, not management

Inspecting papers

U.S. fund industry slams new SEC fund-name rules

Regulator aims for truth in advertising, seeks to combat greenwashing

Robber captured

Ex-broker pleads guilty in crypto fraud case

Clients' assets misappropriated rather than invested, U.S. authorities charged

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

Former U.S. congressman gets jail for insider trading

Trading ahead of pending merger deals led to SEC charges

whistleblower

CFTC rewards pair of tipsters

Whistleblowers provided extensive ongoing cooperation, regulator said

natural environment

Task force issues disclosure recommendations for nature, biodiversity risk

The aim is informed capital allocation decisions

digital euro

Economic uncertainty spells financial fragility: report

European regulators say financial institutions should make "extra efforts" to ensure investors are aware of how inflation affects real returns

Judge looks at papers

Proposed class action alleges B.C. failed children

Government should have opened RESPs, RDSPs for kids in its care, suit claims

Boardroom discussion

IOSCO warns of hidden risks in private loan markets

Regulators propose best practices for market players

Ontario teams up with Israel to tackle cybersecurity in financial services

SEC alleges Virtu failed to guard client data

Firm rejects regulator's allegations, cites political motive for action

Cat looking at screen

Dude, where’s my enforcement action?

SEC sanctions Stoner Cats creator over NFT sales

rules and regulations

Trade groups take on SEC custody reforms

In joint letter, industry associations lobby against proposed changes

Fraudster imprisoned

OneCoin co-founder sentenced to 20 years for US$4 billion scheme

"Cryptoqueen" Ruja Ignatova, the alleged co-conspirator, remains at large

angry client meeting

SEC sanctions firms’ theoretical returns reporting

Investment advisers violated revised marketing rules, regulator alleges

Crumbling bank

Global regulators review banking sector stress

Basel Committee to examine regime's efficacy and consider added guidance

Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizing profits for large business organizations. (Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizin

NASAA details investment advisers’ compliance issues

Registration, record-keeping and supervisory deficiencies were most common in firms' exams

Ecology, sustainability concept

Climate risk added to OECD corporate governance guidance

G20 endorsed revised global principles that incorporate sustainability

Filling out Canadian tax documents

CRA announces prescribed rate for Q4

Interest rate Canadians must pay on overdue tax will remain 9%

IOSCO details DeFi policy proposals

Regulators aim to harmonize rules for decentralized finance and traditional finance

Private firms must follow whistleblower rules too: SEC

Company sanctioned for employee agreements that waived rights to whistleblower awards