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financial risk

Rising rates the top worry for dealers, portfolio managers

CSA systemic risk survey reveals industry's chief concerns

Equity trader charged in US$47-million front-running scheme

SEC, DoJ allege trader tipped off day-trading retiree in long-running gambit

stock market down

CSA proposes changes to enable T+1

Shorter settlement cycle for mutual funds won't be mandated

foreign country with stock market data

SEC seeks sweeping market structure changes

The regulator proposed reforms to enhance competition and boost investor protection

OSC says no reasonable prospect of conviction in CannTrust case

The quasi-criminal case is the regulator's first court proceeding involving a publicly traded cannabis company

Economy, holidays a perfect storm for scammers

FCA reports rise in loan fee frauds, amid growing financial stress

FINRA sees surge in ransomware attacks

Criminals increasingly target small, mid-sized firms, SRO reports

social media

Finfluencers face U.S. fraud charges

SEC, DoJ charge eight over social media driven pump-and-dumps

Fund sector liquidity risk a growing concern: FSB

Policymakers call for enhanced liquidity management measures

Danske Bank pays US$2 billion for AML violations

The bank settled with U.S. and Danish authorities over breaches

ESG letters

FCA adds ESG advisory committee

Regulators face expanding obligations on ESG issues

EU and UK flags

U.K. regulator to redesign retail investor disclosure

FCA seeks to replace EU rules with modern, effective regime

FTX’s Bankman-Fried charged in U.S. for “scheme” to defraud

The criminal indictment is on top of civil charges from the SEC

  • By: Ken Sweet
  • December 13, 2022 December 13, 2022
  • 08:48
Inflation causing price rising up, overvalued stock or funds, consumer purchasing power reducing concept, air balloon tied with product price tag flying high rising up in the sky.

Bank of Canada governor warns geopolitical trends could make inflation fight harder

Russia's invasion of Ukraine was one of three main surprises this year, Macklem says in year-end speech

Tipster gets big payout in case SEC was already investigating

Whistleblower was awarded US$20 million

cryptocurrencies

CSA gets tougher on crypto platforms

Regulators to set new custody and asset segregation requirements

Wooden blocks with percentage sign and arrow up, financial growth, interest rate increase, inflation concept

CRA announces increase in prescribed rate for Q1 2023

Rate to rise for the third consecutive quarter

gold investment

Ex-Wall Street trader convicted in spoofing case

Precious metals trader guilty of wire fraud, federal jury finds

FSB suspends systemic insurer spotting

IAIS process for addressing systemic risk replaces FSB's annual exercise

Former fund rep fined, banned for taking client’s money

MFDA alleged client gave rep access to bank account while travelling

Mining equipment: Bucketwheel reclaimer stock photo

Appeal Court upholds BCSC rulings

Court dismisses challenge to enforcement decision, finds process was fair

U.K. to ease financial regulations in post Brexit shakeup

Conservatives to relax rules separating investment banking from retail operations

Adult senior diverse multi-ethnic Caucasian Hispanic Middle Eastern CEO executive team business people together in conference meeting room in contemporary modern office bright sunny daylight sunset dusk talking discussing planning organizing strategy well dressed suit and tie teamwork cooperation diversity multi-ethnic problems solutions unity cityscape downtown urban new beginnings breaking new ground dreamlike decisions choices the way forward diversity

Resolution reforms urgently needed: FSB

Central counterparties, insurers require resolution-planning improvements

man climbing ladder out of darkness

CSA steps up OM exemption’s disclosure demands

Regulators enhance requirements on real estate issuers, collective investment vehicles

Trading screen financial data in red. Selective focus.

Regulators consult on short-selling rules

CSA and IIROC consider possible reforms amid persistent but unsupported negative perceptions about short-selling