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BCSC gets new enforcement powers

Reforms give the regulator enhanced powers to sanction uncooperative witnesses

Air raid sirens

FINRA re-ups ex-OSC chair, adopts new rules

SRO renews Maureen Jensen's board term for three years

gavel on a laptop

Crypto fraudster sentenced to jail

Scheme promised high returns from "robo" crypto trading

ASC bans, fines fraudster

Perpetrators used investors' money to buy a house instead of funding Mexican taxi venture

Flurry of lawsuits follows Bridging collapse

Failed firm's receiver has filed a series of legal actions against various players in the saga

Group split

Building cap-and-trade markets that work

IOSCO report details recommendations for carbon market regulation

Tribunal finds it has no say in OSC investigations

Panel rejects Binance's bid to get regulator's inquiry halted

Closet indexing class action stumbles, again

B.C court gives plaintiff another chance to clarify proposed claim

Crypto money

FSB sets final global crypto rules

Global group's rules target recent turmoil and misconduct in crypto markets

social media

FCA takes on the finfluencers

Regulator revises industry guidance on social media usage amid rising risks

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 settles over firm’s supervisory weaknesses

JitneyTrade fined $90,000 for weak controls over direct-access clients

SEC adopts reforms to money market funds

New rules increase minimum liquidity requirements and prohibit "gates"

BofA hit with $250 million in fines and customer refunds for “double-dipping” fees, fake accounts

BofA has been cutting down on its reliance on overdraft fee revenue

Firm tossed, broker charged for “Gold Star” churning

FINRA expels firm; SEC, DoJ charge broker for exploiting vulnerable investors

Ruling protects accredited investors’ privacy

OSC decision to deny access to investors' identities upheld

Personal finances

Regulators ponder new benchmark

OSC, AMF consult on new Term CORRA to help ease demise of CDOR

School exam student's taking educational admission test in class, thinking hard, writing answer in university classroom, education and world literacy day concept (School exam student's taking educational admission test in class, thinking hard, writing

No more pencils, no more books: CIRO proposes nixing courses in new proficiency model

CIRO proposes to focus on exams instead

vintage microphones

AMF taps top civil servant as new chief

Yves Ouellet to succeed Louis Morisset on Aug. 21

Fund managers falling short on liquidity, U.K. regulator warns

Review finds widespread failings in asset managers' practices and governance

Crypto coins

So far so good for crypto funds, but CSA flags risks

Regulators issue guidance on valuation, liquidity and custody issues for crypto funds

Judge looks at papers

CFDs are securities, court agrees

Divisional Court upholds tribunal's analysis in OSC enforcement action

Federal Reserve minutes: Some officials wanted to raise interest rates last month

Many economists described the message from the June meeting as a blurry one

Financial Services Regulatory Authority of Ontario logo

FSRA extends timeline for approving title credentialing bodies through 2023

The regulator said those who use titles require more time to comply with the framework

  • By: IE Staff
  • July 5, 2023 July 6, 2023
  • 14:43

Watchdog unveils guidelines to support mortgage holders under financial stress

The FCAC said it would monitor financial institutions' level of compliance with the new expectations

The facade of the Royal Exchange in the City of London

FCA shines a light into bond markets

Regulator proposes consolidated tape, other reforms to boost markets