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Crypto coins

Investment fraudsters embrace innovation

Tech, crypto schemes top threats to investors, including seniors, NASAA reports

social media

FCA targets illegal finfluencer activity

U.K. regulator conducting criminal inquiries, issuing investor alerts

ESG investing

ESG ETFs failed to screen out sin stocks, SEC alleges

Third-party data didn't screen all energy, tobacco stocks, regulator says

Class action

Fund dealer fiduciary duty class action fails

Court rules no evidence of common breach, given differences among investors

Inspecting papers

SEC targets brokers’ best interests compliance

Exam division details compliance priorities for year ahead

investor restitution challenges

CIRO revisits returning money to harmed investors

Self-regulatory organization consults on proposed disgorgement distribution policy

Alberta flag

ASC shifts its approach to costs orders

Move from hourly to flat rate will improve transparency, efficiency: regulator

new rules

CIRO unveils next wave of rule consolidation

Approval regime, proficiency are among areas covered in latest consultation

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

FBI cracks SEC Twitter hack

Authorities allege SIM swap enabled access to regulator's social media account

Computer keys

FSB seeks to streamline operational threat reporting

The group is seeking feedback on a proposed common reporting framework for cyberattacks and incidents

bitcoin investment concept on screen

ESMA calls for cybersecurity audits in crypto sector

European regulators press for external audit requirements in new crypto rules

ponzi scheme

CFTC alleges Canadian firm ran a Ponzi scheme

Court issues asset freeze, sets hearing for end of October

Business lawyer team. Working together of lawyer in the meeting.

SRO investigation clashes with legal action

Court rejects appeal of finding that firm could be prejudiced by settlement

Economic growth

European regulators prep for possible T+1 move

ESMA promises transition oversight group to support move to faster settlement

Central bankers deciding economy

Bank turmoil has lessons for regulators

Liquidity oversight may need to evolve in the wake of March 2023 stress

Computer with financial growth

OSC looks to play the long game

Regulator details vision for retail funds that hold long-term assets

advisor client meeting

CIRO proposes total cost reporting rules

Self-regulatory organization aims to harmonize with CSA's revised requirements

Judge looks at papers

Brokerage sanctioned for gatekeeper failures

CIRO settles with firm over failure to question suspicious trading activity

Crypto money

U.S. dismantles crypto manipulation schemes

FBI created its own cryptoasset to help uncover manipulation-as-a-service

Business lawyer team. Working together of lawyer in the meeting.

FCA sanctions U.K. bank over fair treatment failings

Bank failed in its dealings with customers facing financial distress

Crypto currency

Retail investors undeterred by crypto turmoil: IOSCO

Regulators stress need for education as risks persist and investor interest grows

Court settlement

TD agrees to settle trailer fee class action

Claim alleged investors were harmed by mutual funds paying trailers to discount brokers

calendar court

Court grants leave for class action against FSRA

Investor alleges PACE securities sold without required disclosure while under FSRA administration

Sustainable investing

ESMA issues carbon accounting guidance

Regulator seeks enhanced transparency, more useful information on firms' activities

environmental assessment

OSC sketches its sustainable finance future

Regulator to embed ESG considerations into compliance, enforcement work