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penalty card

Complaint volumes surging, CIRO reports

Collections plunge as hefty sanctions are handed out

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 company, exec for misleading investors

Former executive fined, banned for seven years due to misconduct

Banks on money pile

Macklem warned premiers about dangers of putting BoC’s independence at risk

The exchange is the latest example of the heightened political scrutiny the BoC has faced post-pandemic

ESG building blocks

U.S sustainable funds face continued outflows

Macroeconomic conditions, ESG backlash continue to drive investors away

Magnifying glass on documents

OSC seeks to ban Ponzi schemer

Debit machine scheme involved unregistered securities, regulator alleges

Patron saint of investor protection passes away

Groundbreaking securities lawyer, Glorianne Stromberg, dies

Saving for home purchase

Fraser says housing measures coming in budget update, weighs in on short-term rentals

Federal minister says there will be measures to address "the financialization of housing"

merger

CIRO takes step toward consolidated dealer rules

New SRO aims to harmonize requirements for fund dealers and investment dealers

Ontario proposes quicker consultations for OSC, FSRA

Legislative changes would cut minimum comment period to 60 days

businessman running

ESMA seeks fit check for crypto sector

Regulator proposes guidance for assessing the fitness of management, large shareholders under new crypto regime

U.S. Canada flag

The fallout for Canada from U.S. market reforms

CSA and CIRO seek feedback on the SEC's market structure proposals

Advisor tracking stocks

CSA eases mutual funds’ move to T+1

Regulators propose revisions to accommodate variety of settlement cycles

big vs little

SEC considers curbs on trading fee models

Proposal aims to address concerns about competitiveness of smaller brokers

Cop chasing crook

CFTC plans tougher stance, bigger fines

New guidance signals larger fines, more misconduct admissions

Crypto currency

ECB enters a new phase on path to digital euro

Policymakers move from digital currency design to preparation

home financing

OSFI response to mortgage proposals will please industry: expert

Real estate industry is likely breathing a sigh of relief that Canada's banking regulator may not move ahead with lending tightening

investor protection

OBSI named sole provider for bank complaints

Finance also announced measures to tackle bank fees and mortgage relief

cryptocurrencies

Basel Committee issues crypto disclosure proposal

Standardization seeks to enable market discipline, reduce information asymmetry

saving for a home

Inflation to trigger another rise in TFSA limit

Next year’s contribution amount can be calculated using CPI data released Tuesday

Bear juggling various crypto coin symbols

Regulation no silver bullet for crypto risks, European regulators say

ESMA calls on crypto industry to prepare for regulation

Gavel and Money - Canada stock photo

Tribunal finds SRO panel erred

The IIROC panel overlooked evidence that a rep borrowed money rather than misappropriating it

Mortgage signing

B.C. to bring in new rules on short-term rentals to create more housing

Legislation would force short-term rental platforms to share data for enforcement and tax purposes

  • October 16, 2023 October 16, 2023
  • 14:59
Dispute at desk

SEC targets best-interest rules in broker reviews

Regulator's exam division sets compliance priorities for 2024

climate change

OSFI outlines climate scenario analysis exercise

The regulator is planning the industry's first standardized climate exercise for next year

Fraudster captured

Global pump-and-dump player sentenced

Scheme generated over US$150 million in illicit profits