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Judge's gavel

BCSC panel penalizes investment fraud

Investor lost $1 million based on deception about company's ownership of a hotel

FSRA finalizes seg fund DSC ban

Final rules for a ban beginning June 1 were sent to the finance minister for approval

Bag of money changing hands

Fraudster makes small dent in massive sanctions bill

BCSC collects US$350,000 toward $36.7-million enforcement debt

A keyboard with a blue button - Robo Advisor

SEC sanctions robo advisor for misstatements about tax-loss harvesting service

Clients missed out on potential tax benefits after firm failed to alert them to changes in automated service

Certain Bridging investors get priority, court rules

Investor protections under securities law create priority in receivership

priority

Investor protection remains top priority despite expanded mandate, OSC insists

Regulator addresses criticism of its agenda in revised priorities

Evolving rate environment drives OSFI’s risk outlook

Housing market, bank liquidity and the commercial real estate sector top the regulator's list of concerns

cryptocurrencies

OSFI launches stablecoin consultation

Regulator seeks feedback on FSB recommendations for addressing crypto risks

virtual regulation

Investor at fault over share sale flub, court finds

DIY investor sold 10 times more shares than he owned after a share consolidation

Row of business people listening to presentation at seminar

CSA ponders mandating wider diversity disclosure

Regulators consult on two options for enhancing diversity reporting

Woman in hijab smiling and happy holding smartphone and gold bank credit card

Alberta invites halal finance to its sandbox

Government seeks to develop Islam-compliant mortgages in regulatory testing ground

Europe’s regs seek expanded ESG disclosure

Proposals would require decarbonization targets to be disclosed, among other revisions

Gavel and Money - Canada stock photo

Class action over Horizons leveraged ETF abandoned

Court approves dropping suit that couldn't secure litigation funding

U.S. fund manager gets 15 years in fraud case

Mis-marking scheme defrauded investors, deceived auditors and regulators

Greenwashing and isolated green warning sign against white background stock illustration

Regulators to hold greenwashing hackathon

The event will seek solutions to greenwashing risks for regulators and industry

Court upholds OSC decision denying rep’s appeal

An Ontario court rejected an appeal over IIROC sanctions

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

Robinhood sanctioned for 2020 outages

Firm fined for operational failures, service and supervisory issues

FSRA proposes new conditions on life MGA

Supervision framework “largely based on delegation to upline agents,” regulator alleged

Bridging investors granted time for legal action

Court pauses limitation period on possible claims against advisors, dealers

social media

FCA wades into finfluencer fray

U.K. regulators are increasingly concerned about investors being harmed by social media scams

Silicon Valley Bank headquarters and branch stock photo

FDIC taps BlackRock to sell failed bank portfolios

SVB, Signature Bank's holdings of mortgage-backed securities, CMOs to be sold off

House of Commons in Ottawa

Liberal tax promise tracker, post-budget edition

Here’s the status of tax proposals that matter to your clients

Private Equity sign

Private funds pique regulators’ interest

Sector's rapid growth raises concerns with global regulators

BCSC has $70K to return to fraud victims

Investors lost millions to scheme, regulator found in 2018

Hand holding world currencies

Merrill Lynch settles SEC fee disclosure charges

Firm failed to inform clients about added forex charges, regulator alleged