Home News From the Regulators Page 4

Latest news in From the Regulators

Judge looks at papers

U.S. securities class actions rose in 2024

AI-related filings rise; crypto cases fall, and are in doubt if regulation arrives

We’re not all ‘f**cked’ by AI: BCSC

Regulator makes playful attempt to educate Canadians on AI fraud

consultation discussion

CFTC pledges enhanced public consultation

Regulator to seek feedback on emerging issues, particularly in crypto

Court settlement

Banks settle OTC bond class action

Investor suit sought more than $1 billion, settles for $6.5 million

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

ASC, BCSC join settlement with crypto companies

Settlement provides refunds to investors that bought variety of digital assets

calendar court

Bridging investors deserve their day in court: judge

Quebec court refuses to stay lawsuit, saying regulatory, receivership proceedings could take years

Robber captured

Capital markets vulnerable to criminals: FCA

Firms need to beef up anti-money laundering controls, review finds

Old and new sign

CSA to match SEC on trading fee caps

SEC reforms under judicial review, Canadian regs won't change first

Euro map

Europe launches T+1 committees

Industry committee to lead technical work on transition to faster settlement

financial risk

G20 reforms working, but risks remain: FSB

Review examines post-crisis response in securitization markets, signals CLO concerns

United States flag with Bitcoin cryptocurrency

SEC launches crypto task force

Hester Peirce to lead agency's effort to bring more certainty to crypto sector

signing document

SEC makes last-minute enforcement push

Agency reports record enforcement filings, seeks to save dealer rule

Court settlement

Vanguard settles with SEC, NASAA

Fund change triggered large tax bills for certain investors, regulators alleged

concept of time

U.K. delays final Basel reforms, again

Regulators pushback final post-crisis reforms ahead of new U.S. administration

Judgment fine

Firms shortchanged cash sweep clients: SEC

Advisory clients only offered low-paying sweep accounts, regulator alleged

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

Quant funds failed to guard models: SEC

Firms breached fiduciary duties by ignoring known vulnerability, regulator alleged

climate change

Climate risk poses unique threat to financial system: FSB

Potential for climate tipping points, feedback loops to generate systemic, economic fallout

Board room discussion

AMF pledges proactive prudential supervision

Regulator to consider fair treatment of clients amid firms' operational risks

Crypto coins

Crypto risks remain, European regulators find

The sector is vulnerable to money laundering, illicit activity, hacking

Bank of Canada note

BoC to resume ‘business as usual’ this year after pandemic disruption

The central bank will start purchasing assets again this year after two years of shrinking its balance sheet

volatility

Global regs seek safer margin calls

Policymakers aim to address issues exposed in March 2020 market stress

Chart showing ups and downs of stock market

Broker charged in U.S. insider trading scheme

Authorities allege traders exploited inside info on planned securities offerings

Crypto currency

Crypto exchange gets second US$100-million penalty

BitMEX sanctioned in U.S. for anti-money laundering, KYC violations

Green globe in forest

Too soon for climate transition plans to help regs: FSB

Wider adoption, more standardization needed for company plans to be useful for financial regulation

Phone text

Private equity giants hit with SEC texting charges

Regulator settles with 12 firms for a combined US$63.1 million