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BofA hit with $250 million in fines and customer refunds for “double-dipping” fees, fake accounts

BofA has been cutting down on its reliance on overdraft fee revenue

Firm tossed, broker charged for “Gold Star” churning

FINRA expels firm; SEC, DoJ charge broker for exploiting vulnerable investors

Ruling protects accredited investors’ privacy

OSC decision to deny access to investors' identities upheld

Personal finances

Regulators ponder new benchmark

OSC, AMF consult on new Term CORRA to help ease demise of CDOR

School exam student's taking educational admission test in class, thinking hard, writing answer in university classroom, education and world literacy day concept (School exam student's taking educational admission test in class, thinking hard, writing

No more pencils, no more books: CIRO proposes nixing courses in new proficiency model

CIRO proposes to focus on exams instead

vintage microphones

AMF taps top civil servant as new chief

Yves Ouellet to succeed Louis Morisset on Aug. 21

Fund managers falling short on liquidity, U.K. regulator warns

Review finds widespread failings in asset managers' practices and governance

Crypto coins

So far so good for crypto funds, but CSA flags risks

Regulators issue guidance on valuation, liquidity and custody issues for crypto funds

Judge looks at papers

CFDs are securities, court agrees

Divisional Court upholds tribunal's analysis in OSC enforcement action

Federal Reserve minutes: Some officials wanted to raise interest rates last month

Many economists described the message from the June meeting as a blurry one

Financial Services Regulatory Authority of Ontario logo

FSRA extends timeline for approving title credentialing bodies through 2023

The regulator said those who use titles require more time to comply with the framework

  • By: IE Staff
  • July 5, 2023 July 6, 2023
  • 14:43

Watchdog unveils guidelines to support mortgage holders under financial stress

The FCAC said it would monitor financial institutions' level of compliance with the new expectations

The facade of the Royal Exchange in the City of London

FCA shines a light into bond markets

Regulator proposes consolidated tape, other reforms to boost markets

ESG concept

Industry proposes code for ESG ratings, data

Voluntary code aims to bolster investor decision-making with enhanced transparency

Inspecting papers

Global regulators target investment funds’ liquidity issues

FSB, IOSCO issue policy proposals to address redemption challenges

woman sitting at laptop

FINRA revises remote work rules

U.S. SRO aims to enable more efficient oversight as reps continue to work from home

liquid dollar sign

Bye bye, LIBOR; welcome, CORRA

U.S.-dollar LIBOR put to pasture as the first phase of CDOR reform ends

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

Court rejects Binance’s bid to halt OSC inquiry

Crypto firm failed to make its case staying regulator's investigation order, summons

stack of files

SEDAR+ to launch on July 25

SEDAR will no longer be available for filing the night of July 20

  • By: IE Staff
  • June 30, 2023 June 30, 2023
  • 10:35

SDNY, SEC target insider trading

Authorities bring series of cases alleging array of trading misconduct

Small space ship flys like a rocket through the air

CFTC launches task forces for tech, environmental enforcement

Regulator's units to tackle new frontiers in fraud and misconduct

new rules

New FCA rules ease retail access to long-term funds

Rules aim to expand availability of risky, illiquid investment funds

FCA flags sustainable finance concerns

Conflicts, transparency, targets in sustainability-linked loans all raise questions

Modern office building close up in sunlight

The largest U.S. banks would survive a severe recession, the Fed’s “stress tests” show

The Fed's scenario had a 40% decline in commercial real estate prices

  • By: Ken Sweet
  • June 28, 2023 June 28, 2023
  • 16:50
Adult senior diverse multi-ethnic Caucasian Hispanic Middle Eastern CEO executive team business people together in conference meeting room in contemporary modern office bright sunny daylight sunset dusk talking discussing planning organizing strategy well dressed suit and tie teamwork cooperation diversity multi-ethnic problems solutions unity cityscape downtown urban new beginnings breaking new ground dreamlike decisions choices the way forward diversity

CSA extends comment period for diversity proposals

Regulators proposed two options for improving the information shareholders receive about board and executive diversity

  • By: IE Staff
  • June 28, 2023 June 28, 2023
  • 14:33