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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

Air raid sirens

CIRO drops harmonized sanctions guidance

SRO consolidates IIROC, MFDA approaches to enforcement penalties, policies

Potential class action against fund reps revived

Appeal Court finds alleged fiduciary duty breach can be basis for class action

Business partnership meeting. Picture businessmans handshake. Successful businessmen handshaking after good deal. Horizontal, blurred (Business partnership meeting. Picture businessmans handshake. Successful businessmen handshaking after good deal. Ho

CFTC looks to expand use of AI

Regulator names first chief data scientist

Court certifies another trailer-fee class action

Case against 1832 Asset Management L.P. is the latest to secure certification

penalty card

AMF sanctions exchange registration breach

Refinitiv allowed investors to trade on its platform without registering as an exchange