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Pile of cryptocurrency coins

FCA cracks down on crypto hype

Regulator adopts series of measures to curb marketing, bolster investor protection

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ESMA flags concerns over fund costs

Efficient portfolio management costs continue to worry regulators

Laundering money

Feds consult on fighting money laundering and terrorist financing

Government also seeks comment on creation of new financial crimes agency

Court denies Bridging investors’ bid for money back

Chief justice finds motion is premature, directs receiver to address distribution issues

Hand stopping dominos

Title protection fee proposal in Ontario draws criticism from planning associations, investor advocates

Group rejects proposed fee exemptions for self-regulatory organization and calls for greater advisor proficiency

  • By: IE Staff
  • June 6, 2023 June 7, 2023
  • 16:13

SEC brings charges against cryptocurrency trading platform Coinbase

The company operated an unregistered securities platform and brokerage service, the U.S. regulator says

SEC says crypto firm Binance mishandled funds, violated securities laws

Investigation said to have uncovered 'extensive web of deception, conflicts of interest, lack of disclosure, and calculated evasion of the law'

Financial Services Regulatory Authority of Ontario logo

Life agent sanctioned for client service scheme, churning

New agent allegedly split commissions with ex-agent, churned those clients

Court ruling

Insurance agents opt out of class action en masse

Agents benefit from independent contractor status, undermining proposed lawsuit seeking employment benefits

Shot of a senior woman in a wheelchair being cared for a nurse

OSC seeks members for seniors advisory committee

The application deadline is July 4

  • By: IE Staff
  • June 2, 2023 June 2, 2023
  • 13:54

Calgary fraudster gets seven-year sentence

The man was also ordered to pay more than $2 million in restitution to victims

Focus on Mutual Funds Special Report

Mutual fund chargebacks to face CSA scrutiny

Conflict of interest concerns spark regulators' review

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ESMA seeks solutions to greenwashing

The risk of misleading disclosure pervades sustainable product lineups, European regulators say

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CIRO to align compliance operations

Integrating the SROs' compliance and enforcement functions is a top priority alongside policy work

CSA’s SEDAR+ rollout hits speed bump

As data transfer lags, launch date is pushed back

Fines graphic

How FINRA spent its enforcement fines

SRO ordered US$48.1 million in monetary penslties in 2022

home ownership

FHSA questions abound as industry rolls out account

The issue of what happens when an FHSA holder dies may need to be dealt with sooner rather than later, for example

Tree blowing dollars

Financial stability still shaky: ECB

Markets, investment funds remain vulnerable to rising stress

Mortgage fraudsters hit with $47-million sanction

Most of the investors' money was put into riskier projects than promised

finding your niche

OSC’s Investor Advisory Panel to focus on crypto, CRM3 in year ahead

The IAP is also pushing for reforms to the dispute resolution process

CIRO tackling array of high-profile policy challenges

Commission structures, account transfer standards and dual registration are all in the works

time's up

CCMA seeks regulatory certainty for T+1

Countdown to shorter settlement cycle transition in May 2024 has begun

SEC charges trading chatroom moderator

Market manipulation scheme run on Discord channel, regulator says

Investors must beware of the “halo” effect: ESMA

Selling regulated and unregulated products side by side poses risks to investors, firms

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Firm sanctioned over syndicated mortgage violations

Brokerage, owner admitted to various contraventions of mortgage rules