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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

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

Gavel and Money - Canada stock photo

Former fund rep sanctioned for loans from clients

Rep fined, banned after borrowing from clients, misleading dealer

Rows of golden and silver bars stock photo

Wall Street traders get jail for spoofing

Traders sought to manipulate commodity futures markets, DoJ said

Greenwashing and isolated green warning sign against white background stock illustration

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
time clock

Industry ill-prepared for T+1

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

Business lawyer team. Working together of lawyer in the meeting.

New SRO panel rejects proposed settlement

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