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Judge looks at papers

Proposed class action alleges B.C. failed children

Government should have opened RESPs, RDSPs for kids in its care, suit claims

Boardroom discussion

IOSCO warns of hidden risks in private loan markets

Regulators propose best practices for market players

Ontario teams up with Israel to tackle cybersecurity in financial services

SEC alleges Virtu failed to guard client data

Firm rejects regulator's allegations, cites political motive for action

Cat looking at screen

Dude, where’s my enforcement action?

SEC sanctions Stoner Cats creator over NFT sales

rules and regulations

Trade groups take on SEC custody reforms

In joint letter, industry associations lobby against proposed changes

Fraudster imprisoned

OneCoin co-founder sentenced to 20 years for US$4 billion scheme

"Cryptoqueen" Ruja Ignatova, the alleged co-conspirator, remains at large

angry client meeting

SEC sanctions firms’ theoretical returns reporting

Investment advisers violated revised marketing rules, regulator alleges

Crumbling bank

Global regulators review banking sector stress

Basel Committee to examine regime's efficacy and consider added guidance

Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizing profits for large business organizations. (Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizin

NASAA details investment advisers’ compliance issues

Registration, record-keeping and supervisory deficiencies were most common in firms' exams

Ecology, sustainability concept

Climate risk added to OECD corporate governance guidance

G20 endorsed revised global principles that incorporate sustainability

Filling out Canadian tax documents

CRA announces prescribed rate for Q4

Interest rate Canadians must pay on overdue tax will remain 9%

IOSCO details DeFi policy proposals

Regulators aim to harmonize rules for decentralized finance and traditional finance

Private firms must follow whistleblower rules too: SEC

Company sanctioned for employee agreements that waived rights to whistleblower awards

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