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ESMA targets finfluencers, gamification

European regulators' paper examines investor protection issues arising from investment industry's digitalization

hands holding planet

Global code of conduct debuts for ESG ratings

Regulators welcome voluntary code for ESG ratings, data providers

rules and regulations

SEC adopts Treasury clearing rules

Industry trade groups remain hesitant about sweeping reforms

ESG letters

ESMA to review benchmarks’ ESG disclosures

Compliance exercise seeks to boost transparency, fight greenwashing

PwC settles disciplinary case with CPA Ontario

Professionals routinely shared answers for internal training assessments

Court allows BCSC to test new collection powers

Under 2020 changes, the regulator can target under-valued asset transfers

Household debt burden

Bank regulator maintains uninsured mortgage stress test rate

OSFI says the stress test has produced a more resilient residential mortgage financing system

Bitcoin cyptocurrency

U.S. charges two in alleged crypto Ponzi scheme

Investors duped by scheme that promised AI-powered trading profits

Modern urban skyscrapers in downtown Chicago from below to the blue summer sky. Sun reflecting in the glass facades of the urban futuristic buildings. Chicago, Illinois, USA

Investment firms skimming investors’ interest: FCA

U.K. regulator says investors not getting benefit of higher interest rates as firms "double dip"

Stealing money

Madoff’s victims still getting money back

With ninth distribution, recovery effort tops US$4.2 billion

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

Regulators update warning on advisor awards

Participating in recognition programs at all could be a compliance issue

Former fund industry executive banned

Tribunal bans David Singh following fraud conviction

Bridging faces $40M bill from receiver, counsel

Court asked to approve two years worth of fees in ongoing receivership

Canadian flags in business district

Risks elevated, but bank capital buffers unchanged

OSFI says that vulnerabilities are high, but haven't intensified in recent months

Two happy carpenters shaking hands with senior customer after successful agreement in a workshop.

Feds make two key changes to family business transfer rules 

Bill C-59 addresses issues flagged in the draft legislation

Oil and gas must cut emissions more than a third by 2030

Companies can buy offset credits or contribute to a decarbonization fund that would lower their required reduction

The facade of the Royal Exchange in the City of London

U.K. regulators to intensify oversight of outsourcing

Consultation seeks to set rules for financial industry cloud providers

SEC charges firms in pre-IPO scheme

U.S. authorities allege investors hit with over US$88 million in undisclosed fees

Charts and graphs

Financial, economic conditions top industry worries

CSA publishes systemic risk survey summary

Big binders

OSC aces audit follow-up, government needs work

Decision on tougher investor protection measures coming by end of 2025

penalty card

FINRA sanctions four brokerage houses for improper securities lending practices

Firms to pay US$2.6 million, including US$1 million in client restitution

Senate committee calls for action on housing costs

Recommendations echo affordability measures in government's fall economic statement

Aerial View of Downton Washington DC stock photo

U.S. Supreme Court signals it will uphold a tax on foreign income and leave a wealth tax for another day

Justices voiced concerns that a case challenging a provision of the 2017 tax bill would threaten other provisions of the tax code

Fines graphic

Financial intelligence agency hands down $7.5M penalty to Royal Bank of Canada

The fine announced Tuesday is the largest ever imposed by FINTRAC

Swiss bank settles U.S. tax evasion charges

Banque Pictet to pay US$122.9 million in deferred prosecution deal