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RESP privacy breach class action runs aground

A court dismissed the proposed suit involving hospital workers selling new mothers' contact information to RESP dealer reps

FSRA releases draft operational risk guidance for credit unions

The proposed guidance is out for comment until March 31

Discount brokers can’t be sued over pre-ban trailers, court rules

Ontario court rules that discount brokers' receipt of trailing commissions was not considered illegal before the June 2022 ban

New SRO plans October business continuity test

The biennial exercise will be coordinated with the U.S. industry

FSRA proposes cyber guidance for title credentialing bodies

Groups issuing financial planner and advisor titles must meet cybersecurity guidelines

foreign country with stock market data

Bloomberg sanctioned over bond pricing disclosures

Securities prices sometimes relied on single sources, the SEC alleged

Advisor hit hardest in Amaya Gaming insider trading case

An Ontario tribunal handed down $5.1 million in penalties and other costs

Crypto lending product ruled a security: SEC, NASAA

U.S. regulators settle with firm over unregistered product

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

Firms have immunity to aid SRO investigations, court rules

B.C. court strikes certain claims in rep's wrongful dismissal suit

Entrance to Financial Services Regulatory Authority of Ontario

Total cost reporting guidance for seg funds coming this spring: FSRA

FSRA also reiterated that it wants clients to be protected from seg fund deferred sales charges, regardless of when the funds were purchased

plan idea

New circuit breakers for CDRs

Growth in Canadian depositary receipts prompts SRO to expand guidance on trading halts

Crypto exchange moved US$700 million for darknet: DoJ

U.S., European authorities take down Bitzlato platform

Court sides with firm in dispute over advisor-managed funds

Rep sought to bring funds she managed for clients to new business

Rate hikes have begun to quell U.S. inflation: Fed’s Mester

Mester's comments are notable because she is among the more consistently hawkish members

On the Table Laptop Showing Statistics: Team of Politicians, Corporate Business Leaders and Lawyers Sitting at the Negotiations Table in the Conference Room, Trying to Come to an Agreement. stock photo

New SRO launches investor advisory panel

Dorothy Sanford, former head of MFDA IPC, heads new investor group

Morisset to leave AMF in July

Quebec's top regulator will leave the agency after 17 years, including 10 at the helm

Retail investor costs are falling but still weighing on results: ESMA

Despite the downward trend, European regulators stressed that costs remain an important consideration

magnifying glass

European securities regulators target marketing practices

Review to scrutinize communications, social media, finfluencers and greenwashing

Pile of cryptocurrency coins

U.S. court orders restitution for crypto Ponzi victims

Victims of global BitConnect scheme to recover US$17 million

gavel on a laptop

SEC steps up crypto crackdown

Crypto lending program amounted to an unregistered offering, regulator alleges

BCSC settles insider trading allegations

Firm, director banned for three years, agree to pay $200,000

Businessman Blowing Whistle Isolated on White Background

SEC rewards one tipster, denies another

Earlier tip didn't prompt investigation or enforcement action, regulator rules

Tribunal sanctions trio in “moderately serious” fraud

Misconduct occurred as part of a legitimate business, not a scam, panel found

Canadian 100 Dollar banknotes being printed

BoC to lose billions over next few years, posing communications challenge: report

Settlement balances helped finance pandemic quantitative easing

OSFI escalates fight against mortgage lending risk

Consultation considers array of tools to address rising debt service risks