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Investment entities need to improve disclosure practices: CSA

SEC sanctions private equity manager over non-disclosure

Firm failed to reveal conflicted fee payments, regulator charged

Regulators extend exemptions for discount brokers to comply with trailer ban

The exemptions were previously slated to end on Nov. 30

rock climbing risk

Downside risks on the rise, European regulators say

ESMA outlines market vulnerabilites amid higher interest rates, economic uncertainty

  • By: IE Staff
  • August 31, 2023 August 31, 2023
  • 11:57
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BCSC sanctions sales-rule violations

Former firm provided reps with improper incentives, regulator alleged

Tipster gets US$18-million SEC award

Whistleblower first reported suspected misconduct internally, regulator said

Picking a dollar

SEC sanctions investor overcharging

Back-office snafu meant clients didn't get discounts on standard fees

Crypto money

Crypto mixers charged with money laundering

Company allegedly facilitated in washing over US$1 billion in criminal proceeds

Investment entities need to improve disclosure practices: CSA

SEC ramps up hedge fund regulation

New rules aim to improve transparency, investor protection in private fund market

Follow the leader

SEC expands FINRA’s jurisdiction

New rule sharply narrows prop traders' SRO exemption

Fraudster imprisoned

NFT insider trader catches jail term

Former OpenSea product manager sanctioned for scheme

Judge's gavel

U.S. reaches deal on broker’s shady trading

Nomura Securities agrees to trading misconduct penalties in non-prosecution agreement

Financial lifesaver

IOSCO, CPMI report examines central counterparty risks

Policymakers seek to ensure CCP readiness to handle loss events

Crypto money

Cryptoassets exacerbate emerging market risks: report

Research finds crypto has failed to live up to its promise for developing economies

compliance

Ontario seeks to expand OSC sanctions spending

Proposal would allow enforcement money to be used for IT projects and new innovation office

FINRA names new enforcement chief

Long-time SRO employee tapped to head division

SEC sanctions firm over crypto hype

Robo-advisor violated rules when touting hypothetical performance

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FSRA finalizes credit unions’ operational guidance

Regulator supports firms' efforts to address ESG risks

Venture firm CEO pleads guilty in pre-IPO scheme

Authorities allege investors were defrauded with false promise of lucrative private shares

UBS settles case over mortgage-backed securities in lead-up to financial crisis

Latest settlement brings penalties in DoJ cases to over US$36 billion

business man using magnifying glass to inspect documents

SEC sanctions U.K. auditor for faulty SPAC review

Company went public in a de-SPAC transaction following the audit

Bridging investor priority ruling faces appeals

Investors' reps challenge a ruling over who gets priority in an insolvency

B.C. court upholds ruling in advisor’s favour

Investor misunderstood difference between advisory and discretionary accounts, court found

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Crypto platform settles SEC registration allegations

Firm tried to hide the fact that cryptoassets represented securities, regulator charged

time's up

CSA ruling helps T+1 push: CCMA

Regulators heed industry plea to push back trade-matching deadline

Bond counselling

FSRA details oversight for planner and advisor titles

Regulator sets supervisory priorities for credential providers