Home News From the Regulators Page 43

Latest news in From the Regulators

home ownership

FHSA questions abound as industry rolls out account

The issue of what happens when an FHSA holder dies may need to be dealt with sooner rather than later, for example

Tree blowing dollars

Financial stability still shaky: ECB

Markets, investment funds remain vulnerable to rising stress

Mortgage fraudsters hit with $47-million sanction

Most of the investors' money was put into riskier projects than promised

finding your niche

OSC’s Investor Advisory Panel to focus on crypto, CRM3 in year ahead

The IAP is also pushing for reforms to the dispute resolution process

CIRO tackling array of high-profile policy challenges

Commission structures, account transfer standards and dual registration are all in the works

time's up

CCMA seeks regulatory certainty for T+1

Countdown to shorter settlement cycle transition in May 2024 has begun

SEC charges trading chatroom moderator

Market manipulation scheme run on Discord channel, regulator says

Investors must beware of the “halo” effect: ESMA

Selling regulated and unregulated products side by side poses risks to investors, firms

Home for sale with red and white real estate sign during the fall season. Fall season with leaves on ground. Front porch and windows in background. Residential neighborhood. Moving house, relocation concept. Realtor putting up signs.

Firm sanctioned over syndicated mortgage violations

Brokerage, owner admitted to various contraventions of mortgage rules

Ex-trader admits to second insider trading scheme

Tips on upcoming mergers involving SPACs allegedly sent to friend

confused man

Firms struggle to understand conflicts: BCSC

Compliance sweep uncovers issues with identifying, disclosing and managing conflicts of interest, including conflicted compensation

Fund managers’ valuation practices need help: ESMA

Review found weakness in firms' valuation processes, procedures

cryptoassets regulation

IOSCO seeks regulatory certainty for crypto

Regulators consult on global standards, expect final version by Q4

Company, execs sanctioned for excessive hype

Investors were misled by company's news releases, OSC alleged

Hands behind bars

Ex-fund manager lands in jail

Investors were misled about fund's trading and holdings, U.S. district court judge says

Judge looks at papers

Bridging execs rebuffed by court and tribunal

Bid for judicial review quashed, motion to summon top OSC brass rejected

Europe stacks

ESMA seeks to curb investors’ fund costs

Regulators ask lawmakers for action on investment fund costs

a woman looking at her computer

Inching toward RegTech innovation

Small, straightforward tech solutions can have big payoffs, OSC TestLab finds

rules and regulations

Advisor chargebacks need robust controls, regulators say

Insurance regulators promised new guidance on upfront compensation structures

Rep used fake account, loans to steal from client

Former fund rep fined, banned by regulators for misappropriation

Extreme closeup of an annual report -- based on the "portfolio facts," the fund is a 100% stock mutual fund

IOSCO issues new guidance for ETF regulation

Best practices aim to address ETF sector's evolution over the past decade

Sign on the building of Financial Industry Regulatory Authority, or Finra, in Manhattan NYC lower financial district downtown, businessman man walking stock photo

FINRA to firm: Get out!

SRO expels brokerage over widespread regulatory violations

Decision that put certain investors at head of line in Bridging receivership faces appeal

Lawyers argue that all investors should be treated equally

MX fines firm for weak controls

Laurentian Bank Securities sanctioned for supervisory shortcomings

FCAC seeks single body for bank complaints

Applications due June 26 for the job of enhancing complaint handling