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Ex-trader admits to second insider trading scheme

Tips on upcoming mergers involving SPACs allegedly sent to friend

confused man

Firms struggle to understand conflicts: BCSC

Compliance sweep uncovers issues with identifying, disclosing and managing conflicts of interest, including conflicted compensation

Fund managers’ valuation practices need help: ESMA

Review found weakness in firms' valuation processes, procedures

cryptoassets regulation

IOSCO seeks regulatory certainty for crypto

Regulators consult on global standards, expect final version by Q4

Company, execs sanctioned for excessive hype

Investors were misled by company's news releases, OSC alleged

Hands behind bars

Ex-fund manager lands in jail

Investors were misled about fund's trading and holdings, U.S. district court judge says

Judge looks at papers

Bridging execs rebuffed by court and tribunal

Bid for judicial review quashed, motion to summon top OSC brass rejected

Europe stacks

ESMA seeks to curb investors’ fund costs

Regulators ask lawmakers for action on investment fund costs

a woman looking at her computer

Inching toward RegTech innovation

Small, straightforward tech solutions can have big payoffs, OSC TestLab finds

rules and regulations

Advisor chargebacks need robust controls, regulators say

Insurance regulators promised new guidance on upfront compensation structures

Rep used fake account, loans to steal from client

Former fund rep fined, banned by regulators for misappropriation

Extreme closeup of an annual report -- based on the "portfolio facts," the fund is a 100% stock mutual fund

IOSCO issues new guidance for ETF regulation

Best practices aim to address ETF sector's evolution over the past decade

Sign on the building of Financial Industry Regulatory Authority, or Finra, in Manhattan NYC lower financial district downtown, businessman man walking stock photo

FINRA to firm: Get out!

SRO expels brokerage over widespread regulatory violations

Decision that put certain investors at head of line in Bridging receivership faces appeal

Lawyers argue that all investors should be treated equally

MX fines firm for weak controls

Laurentian Bank Securities sanctioned for supervisory shortcomings

FCAC seeks single body for bank complaints

Applications due June 26 for the job of enhancing complaint handling

Texting hands

CFTC, SEC sanction Scotia for texting violations

Senior employees used WhatsApp for business communications, regulators find

OSFI reviewing liquidity treatment of high-interest savings account ETFs

Review will examine whether the risks of the fast-growing category are adequately captured

Inspecting papers

IOSCO tackles SPAC boom concerns

No one-size-fits-all solution to protect investors from shell-company risks

Crypto money

Man jailed for tipping in first-ever crypto insider trading case

Former Coinbase product manager tipped off planned asset listings

ASC sanctions operator of failed trading scheme

Man permanently banned; ordered to pay $300,000 in disgorgement, penalties and costs

Tribunal declines to pause case against Bridging execs

Judicial review not an "exceptional circumstance" justifying an adjournment, panel says

papers on a desk

Bridging managed funds as one big pool, court filings allege

Receiver argues that institutional investors' consolidation motion is premature

Businessman Blowing Whistle Isolated on White Background

Whistleblower gets US$279 million for SEC tip

Record-setting payout follows tip that caused regulator to widen ongoing investigation, prompted action from a second federal agency

Entrance to Financial Services Regulatory Authority of Ontario

FSRA revises proposed fee rule

Some fees reduced to reflect existing OSC oversight of new SRO