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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

ESG concept

Industry proposes code for ESG ratings, data

Voluntary code aims to bolster investor decision-making with enhanced transparency

Inspecting papers

Global regulators target investment funds’ liquidity issues

FSB, IOSCO issue policy proposals to address redemption challenges

woman sitting at laptop

FINRA revises remote work rules

U.S. SRO aims to enable more efficient oversight as reps continue to work from home

liquid dollar sign

Bye bye, LIBOR; welcome, CORRA

U.S.-dollar LIBOR put to pasture as the first phase of CDOR reform ends

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

Court rejects Binance’s bid to halt OSC inquiry

Crypto firm failed to make its case staying regulator's investigation order, summons

stack of files

SEDAR+ to launch on July 25

SEDAR will no longer be available for filing the night of July 20

  • By: IE Staff
  • June 30, 2023 June 30, 2023
  • 10:35

SDNY, SEC target insider trading

Authorities bring series of cases alleging array of trading misconduct

Small space ship flys like a rocket through the air

CFTC launches task forces for tech, environmental enforcement

Regulator's units to tackle new frontiers in fraud and misconduct

new rules

New FCA rules ease retail access to long-term funds

Rules aim to expand availability of risky, illiquid investment funds

FCA flags sustainable finance concerns

Conflicts, transparency, targets in sustainability-linked loans all raise questions

Modern office building close up in sunlight

The largest U.S. banks would survive a severe recession, the Fed’s “stress tests” show

The Fed's scenario had a 40% decline in commercial real estate prices

  • By: Ken Sweet
  • June 28, 2023 June 28, 2023
  • 16:50
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CSA extends comment period for diversity proposals

Regulators proposed two options for improving the information shareholders receive about board and executive diversity

  • By: IE Staff
  • June 28, 2023 June 28, 2023
  • 14:33
digital euro

Policymakers set stage for digital euro

European Commission proposes legal framework, ECB to have final call on digital currency

Securities fraudsters simply rebranded, SEC alleges

As regulators shut down one scheme, the perpetrators persisted

factory

ISSB finalizes climate standards. Now comes the hard part

Securities regulators to review final standards as implementation challenge looms

Ex-Bridging CEO refuses to participate in OSC hearing

David Sharpe rebuffs Tribunal proceeding, to pursue concerns in court

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

OBSI adds two consumer interest directors to board

Governance changes follow consultation and independent review

  • By: IE Staff
  • June 26, 2023 June 26, 2023
  • 16:01

Shopify to fight CRA request for six years of merchant tax records: CEO

Government said records were being sought to verify that merchants were obeying tax acts

Fundraisers face $9 million in sanctions

Ontario's Capital Markets Tribunal found investor losses weren't intentional, but reckless

Former life agent fined for client servicing scheme

FSRA brought similar allegations against the agent earlier this year

Ontario court sides with OSC on Gong evidence

Appeal of tribunal ruling premature, court finds

Federal government passes 2023 budget implementation bill

Changes to RESPs and RDSPs, caps on payday loans and leeway to increase the CDIC limit are all law now

CIRO details suspended firm’s capital troubles

Gravitas Securities suspended after repeated shortfalls, failure to file financials

IOSCO targets “hidden losses” in issuers’ financials

Regulators worried about investors getting timely disclosure of impaired goodwill