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Judge looks at papers

DeFi trio runs afoul of CFTC

So-called smart contracts still must comply with the law, regulator warns

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

MX sanctions weak trading oversight

Wedbush Securities fined for compliance failings

FCA offers crypto firms a little carrot, a bit of stick

U.K. regulator gives compliance extension to some firms, threatens others with enforcement

cryptocurrencies

Crypto a threat to financial, economic stability

FSB and IMF call for comprehensive regulation of crypto sector

FSRA revokes licence of life agent who sold repeat policies

Alleged misconduct included untrustworthiness, fraud and deception

  • By: IE Staff
  • September 7, 2023 September 7, 2023
  • 15:53
Gavel and texts

OSC seeks cease trade in forex fraud case

Regulators allege the scheme took over US$300 million from investors

Judge looks at papers

Former FTX crypto executive pleads guilty to making millions in illegal U.S. campaign contributions

Exec is the fourth high-ranking official at the company or its affiliates to plead guilty to criminal charges

Gavel and texts

CSA increased bans, fines in latest fiscal year

Regulators' year in review also detailed crypto oversight, CFR sweep

  • By: IE Staff
  • September 7, 2023 September 7, 2023
  • 13:33
Personnel

Top Swiss regulator steps down

CEO cites stress, health in decision to resign from post

U.S. brokers need work on best interest compliance

Firms make token effort to raise standards, cling to suitability, NASAA finds

investment risk

Economy not out of the woods yet, FSB warns

Leverage and liquidity risks lurk alongside rising financial stresses

B.C. couple charged in Ponzi scheme

Long-running venture took in millions from investors, police allege

Investment entities need to improve disclosure practices: CSA

SEC sanctions private equity manager over non-disclosure

Firm failed to reveal conflicted fee payments, regulator charged

Regulators extend exemptions for discount brokers to comply with trailer ban

The exemptions were previously slated to end on Nov. 30

rock climbing risk

Downside risks on the rise, European regulators say

ESMA outlines market vulnerabilites amid higher interest rates, economic uncertainty

  • By: IE Staff
  • August 31, 2023 August 31, 2023
  • 11:57
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

BCSC sanctions sales-rule violations

Former firm provided reps with improper incentives, regulator alleged

Tipster gets US$18-million SEC award

Whistleblower first reported suspected misconduct internally, regulator said

Picking a dollar

SEC sanctions investor overcharging

Back-office snafu meant clients didn't get discounts on standard fees

Crypto money

Crypto mixers charged with money laundering

Company allegedly facilitated in washing over US$1 billion in criminal proceeds

Investment entities need to improve disclosure practices: CSA

SEC ramps up hedge fund regulation

New rules aim to improve transparency, investor protection in private fund market

Follow the leader

SEC expands FINRA’s jurisdiction

New rule sharply narrows prop traders' SRO exemption

Fraudster imprisoned

NFT insider trader catches jail term

Former OpenSea product manager sanctioned for scheme

Judge's gavel

U.S. reaches deal on broker’s shady trading

Nomura Securities agrees to trading misconduct penalties in non-prosecution agreement

Financial lifesaver

IOSCO, CPMI report examines central counterparty risks

Policymakers seek to ensure CCP readiness to handle loss events

Crypto money

Cryptoassets exacerbate emerging market risks: report

Research finds crypto has failed to live up to its promise for developing economies