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SRO panel laments remote hearing challenges

Panel concluded that rep was participating in proceeding anonymously

SEC lawyer turned fraudster guilty, again

Pair pleaded guilty in penny stock fraud scheme

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European regulators seek climate data for structured products

Investors and supervisors need data on underlying assets, regulators say

Former fund rep’s suit against Quebec regulator tossed

Quebec court cites statutory immunity in dismissing claim

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Former fund rep sanctioned for loans from clients

Rep fined, banned after borrowing from clients, misleading dealer

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Wall Street traders get jail for spoofing

Traders sought to manipulate commodity futures markets, DoJ said

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Anti-greenwashing efforts carry cost, risk for fundcos

Despite risks, lure of flows, revenues expected to keep managers keen on green funds: Fitch

Ex-Goldman banker gets 10 years in 1MDB case

Conviction on corruption and money laundering charges involved Malaysian sovereign wealth fund

SEC sanctions Canadian firm in stock sale scheme

U.S. regulator alleged micro-cap CEO dumped shares on unsuspecting investors

BCSC sanctions company over illegal distribution

Company sold shares to a vulnerable investor without a prospectus or exemption

FINRA sanctions shortcomings in complaint handling

Online brokerage firm fined for compliance issues related to complaints, options approvals

Businessman Blowing Whistle Isolated on White Background

Wanted: More whistleblowers, bigger awards

OSC touts success of tip line, hopes to expand its reach

Hundreds of Ontario insurance agents targeted for CE non-compliance

A FSRA review resulted in 445 letters of warning for failing to complete continuing education hours

  • By: IE Staff
  • March 9, 2023 March 9, 2023
  • 13:35
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Industry ill-prepared for T+1

Survey finds over half of buy-side firms haven't started work on transition

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New SRO panel rejects proposed settlement

The case can either proceed to a contested hearing or the two sides may seek a new deal

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Bank of Canada holds key rate for first time in a year, leaves door open to hikes

The economy has generally moved in the right direction for the bank as it aims to slow activity

OSFI fires first salvo on climate risk

Regulator issues initial guidance targeting financial firms' climate risk management, governance

cryptocurrencies

SEC alleges fraud at crypto fund adviser

Regulator claims millions are missing after funds used in Ponzi-style payments

Digital bank fined by FINTRAC

WealthOne paid $676,500 penalty amid compliance lapses

Nickel market outage under investigation by FCA

Regulator confirms enforcement inquiry into extended LME closure

RBC faces another vacation pay class action

Bank's P&C advisors seek holiday pay on their variable compensation

foreign country with stock market data

FCA tackles competition in wholesale data market

New study to look at the competitiveness of markets for benchmarks, credit ratings

BCSC imposes sanctions on Ponzi promoters

U.S.-based scheme cost B.C. investors $1.5 million and inflicted other damage, panel said

OSFI seeks sound tones from the top

Regulator proposes principles-based guidance on firms' culture

Banned rep allowed to keep inheritance

Tribunal finds that rep's interest in client's estate didn't result from a breach of securities law