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Startup CEO duped JP Morgan, authorities allege

Founder accused of falsifying user data before US$175 million buyout

SRO asks dealers to upvote its new name and look

New branding would replace existing logos by the end of 2024

whistleblower

Don’t sit on whistleblower tips, SEC ruling shows

Tipster fails to sway regulator on divvying up reward

Discount brokers’ trailers harm all investors, lawsuit alleges

Proposed class action claims that improper fees hurt investors' returns

U.S. sanctions Wells Fargo for oversight failures

Federal Reserve, Treasury fine bank for lapses that enabled U.S. sanctions breaches

Ex-Portus chief’s co-conspirator pleads guilty

Woman admits to charges in fraud scheme involving Boaz Manor

Modern office building close up in sunlight

Bank of Canada watching for potential spillovers from global banking stresses

Deputy governor Toni Gravelle said global banks are more resilient today than they were 15 years ago

responsible investments fossil fuels oil and gas energy sector

FCA’s anti-greenwashing effort needs more time

Regime to protect investors must also work for industry, regulator says

woman at laptop

Budget seeks to expand financials’ diversity disclosure, virtual meetings

Government aims to improve transparency at federally regulated financial institutions

Low angle view of Skyscrapers in downtown Toronto during the day

Budget promises reform to banking complaints

FCAC charged with selecting single, external complaints body

Skyline of downtown Montreal in Summer

MX seeks market surveillance boost

Exchange proposes new client ID requirements

The next hurdle in climate reporting: oversight

IOSCO calls for work to develop assurance standards for sustainability reporting

SEC secures asset freeze against accused Canadians

B.C. court grants injunction against defendants in global pump and dump scheme

S&P fined by ESMA for rating rule breaches

Rating agency hit with €1.1-million penalty for internal control shortcomings

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

Stopping the clock on advisor lawsuits over Bridging

Firm seeks to suspend the limitation period on potential claims against advisors and dealers

Pile of cryptocurrency coins

CFTC takes on crypto giant Binance

Regulator alleges the company told U.S. investors how to avoid controls

Yellen says bank situation stabilizing, different from 2008

Treasury Secretary said more rescue efforts could be necessary to prevent contagion

parliament hill

Finance Minister outlines priorities as pre-budget week kicks off

The government will show more fiscal restraint as part of efforts to rein in inflation

Fed’s tough challenge: Confront inflation and bank jitters

Most economists think the Fed will raise rates by a quarter-point on Wednesday

OSC awards $481K to whistleblower

The insider provided information the commission otherwise could not have obtained

  • By: IE Staff
  • March 20, 2023 March 20, 2023
  • 12:46
magnifying glass

New SRO highlights proprietary product conflicts

A review identified gaps in addressing conflicts associated with proprietary products

U.S. bank pleads guilty to securities fraud

Sanctions softened to avoid putting bank out of business

Bank exec pleads guilty to obstructing fake account inquiry

Former Wells Fargo EVP agrees to ban, US$17-million penalty in deal with regulators, authorities

SEC seeks stouter cyber defences

Regulator's proposal aims to address concerns about systemic cyber events

Old couple - both smiling

Court dismisses challenge to raising retirement age

Decision upholds lower court ruling in favour of pension plan, trustees