Home News From the Regulators Page 44

Latest news in From the Regulators

Texting hands

CFTC, SEC sanction Scotia for texting violations

Senior employees used WhatsApp for business communications, regulators find

OSFI reviewing liquidity treatment of high-interest savings account ETFs

Review will examine whether the risks of the fast-growing category are adequately captured

Inspecting papers

IOSCO tackles SPAC boom concerns

No one-size-fits-all solution to protect investors from shell-company risks

Crypto money

Man jailed for tipping in first-ever crypto insider trading case

Former Coinbase product manager tipped off planned asset listings

ASC sanctions operator of failed trading scheme

Man permanently banned; ordered to pay $300,000 in disgorgement, penalties and costs

Tribunal declines to pause case against Bridging execs

Judicial review not an "exceptional circumstance" justifying an adjournment, panel says

papers on a desk

Bridging managed funds as one big pool, court filings allege

Receiver argues that institutional investors' consolidation motion is premature

Businessman Blowing Whistle Isolated on White Background

Whistleblower gets US$279 million for SEC tip

Record-setting payout follows tip that caused regulator to widen ongoing investigation, prompted action from a second federal agency

Entrance to Financial Services Regulatory Authority of Ontario

FSRA revises proposed fee rule

Some fees reduced to reflect existing OSC oversight of new SRO

Biodiversity may be next for ISSB

Standards setter seeks input on what to tackle after climate reporting

changes ahead sign

As LIBOR ends, regulators cut firms some slack

ASC, OSC give firms deadline extension on derivatives data reporting

Air raid sirens

SEC steps up disclosure demands on hedge, PE funds

Rules aim to enhance systemic risk oversight and investor protection

Disclosure form

SEC boosts companies’ buyback disclosure demands

Investors to get more detailed disclosure of issuers' repurchase activity

Judge looks at papers

Institutions seek $35 million back from Bridging fund

Investors argue it would be unfair for them to subsidize other victims

UK flag

FCA relaxes rules to rejuvenate listings

U.K. regulator curbs investor protections to attract issuers, placate bankers

Cease-trade orders need expiry dates, tribunal rules

OSC sought to extend order until enforcement proceedings complete

Brokerage sector bad boys flagged by FINRA

Firms with history of misconduct identified on BrokerCheck system

magnifying glass

Life agents falling short, FSRA finds

Almost half of high-risk agent reviews found best-practice failures

Modern office building close up in sunlight

FDIC recommends overhauling U.S. insurance deposit system

The proposal appears to acknowledge the FDIC is looking for ways to calm depositors and markets

Fed is set to raise rates yet again. Then what?

Officials want to see inflation decline consistently before considering major policy shifts

SPAC fraudsman gets three years in jail

Former CFO embezzled US$5 million to trade meme stocks, crypto

Entrance to the U.S. Commodity Futures Trading Commission (CFTC) on their headquarters building in Washington; CFTC is an agency of the US government.

CFTC fraud case results in record penalty

U.S. court orders US$3.4 billion in penalties and restitution in global forex fraud

BCSC to start handing out tickets

Regulator will issue penalties, without hearings, for minor rule violations

Hands reaching out for pie

Priority, distribution issues dog Bridging proceeding

Institutional investors seek distribution from failed fund manager

Petition calls for tax deadline extension amid federal worker strike

The CRA says tax returns filed digitally will largely be processed automatically ``without delay"