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Judge's gavel with magnifying glass on black.

Tribunal sanctions Nova Tech crypto scheme

The firm and its founder were permanently banned, fined

Man reads legal document carefully using magnifying glass

CFTC boasts of record year for enforcement

A pair of major crypto cases drove monetary relief to record heights

Crypto currency

First stablecoin to meet CSA’s standards

Other issuers have until Dec. 31 to comply with the regulators' stablecoin rules

announcement

Ex-SEC commissioner tapped to lead agency

Trump nominates crypto advocate as next head of the SEC

Federal Reserve

Powell: Fed’s independence from politics is vital

President-elect Trump has made numerous public criticisms of the Fed, Powell

Fraud

Securities industry’s systemic risk worries ease

Level of concern declines alongside interest rates, CSA reports

Crypto currency

Founder of failed global crypto lending platform pleads guilty to fraud charges

Alexander Mashinsky admitted that he misled customers about the business

Bank of Canada

Senate committee ponders monetary policy reforms

Report highlights calls for expanded mandate, increased transparency, accountability

After attack on Hiroshima client, Nomura tightens controls

Former wealth advisor accused of robbery, attempted murder, arson

The Australian Coat of Arms in metal hangs on the glass wall of a building that reflects another high-rise across the street.

ASIC reports on industry complaint handling

Regulator launches effort to enhance transparency of firms' dispute resolution efforts

Robo advisor sanctioned over CFR shortcomings

Compliance sweep in 2022 found WealthBar wasn't meeting new standards

Pile of cryptocurrency coins

The wild west of crypto enforcement

Given misconduct worth somewhere between $1.6 million and $94 million, BCSC panel takes a shot at valuing crypto disgorgement

MFDA hearing panel finds W.H. Stuart, co-founder violated industry rules

Ex-fund rep fined, banned over theft

Rep admitted to misappropriating money from investment and insurance clients

The evolution of trading poses regulatory challenges

IOSCO's latest report examines the risks created by the age of demutualization

U.S. efforts to undo regulatory reforms likely to be limited: Russell

CSA seeks sales practices reforms

Proposals aim to boost investor protection around proprietary fund sales

whistleblower

Former fund rep sanctioned for SRO rule breaches

Rep had clients invest in, failed to disclose, his side hustles

Banks on money pile

Bridging investors may finally see some money

PwC proposes an interim $473 million payout to investors

Big Ben

FCA backs away from enforcement disclosure plans

Regulator responds to pushback on proposal to announce investigations

Successful crypto trader investor broker, using laptop for cryptocurrency financial market analysis, buying or selling cryptocurrency, analyzing financial diagrams on the screen stock photo

CSA stretches prospectus timetable for funds in continuous distribution

Also starting March 3, funds will not have to file a final prospectus within 90 days of a preliminary prospectus receipt

  • By: Kevin Press
  • November 28, 2024 November 28, 2024
  • 11:47
Crypto currency

FCA reveals roadmap to crypto regulation

Regulator lays out plans for rule consultations with new regime due in 2026

Responsive team

FINTRAC aiming to provide crucial info in real time

Agency will work with businesses and federal partners to move more quickly in the fight against money laundering and terrorist financing

Donation grant

Christmas comes early for FAIR Canada

OSC provides investor advocate with $11 million in funding over six years

Piggy banks on stacks of gold coins

OSC, CIRO to review banks’ sales practices

Regulators cite concerns about high-pressure sales tactics in bank branches

Businessman holding tablet with graphs

Outlook for global fund sector improving: Fitch

Easing economic, financial conditions point to growth for fund managers

Greater regulation in store for insurance industry: OSFI rep

U.K. regulators to ease curbs on bankers’ bonuses

Effort aims to boost financial sector growth by loosening pay restrictions