Home News From the Regulators Page 51

Latest news in From the Regulators

Citi’s living will needs work: Banking regulators

Bank promises action to address weakness flagged by Fed, FDIC

Pile of cryptocurrency coins

No crypto in retirement accounts: NY AG

Recent failures, volatility, make crypto unsuitable for long-term savings, says New York state attorney general Letitia James

FCA consults on LIBOR wind down

Proposal would see final U.S. dollar setting terminated in Sept. 2024

OSC adopts new fee model

New $13.5-million fee for OTC derivatives market players to launch April 2023

Canadian charged in pump-and-dump scheme

U.S. authorities allege Quebec firm used in market manipulation

Rep fined, banned for misappropriation

SRO alleged rep took money from a client who was a fellow fund rep

gavel on a laptop

GSAM settles SEC greenwashing allegations

Firm agrees to pay $US4 million to resolve charges that it didn't follow ESG policies

EU and UK flags

FCA seeks industry code for ESG ratings, data

Regulator forms industry group to develop voluntary code of conduct

CRM3, DSCs, new SRO top OSC agenda

Regulator sets out draft priorities for fiscal 2024

Trading apps risk turning investors into gamblers: FCA

U.K. regulator says gamification tactics can drive problematic investor behaviour

words ESG on a wood block and Future environmental conservation and sustainable ESG modernization development by using the technology of renewable resources to reduce pollution and carbon emission.

When can funds call themselves green?

ESMA proposes portfolio thresholds for ESG, sustainable funds

SEC charges brokers over unregistered penny stock trades

Side business allegedly enabled billions of stock trades

No clarity for Bridging investors until the new year

Decision on investor priority motion likely to come in early January

Metal handcuffs placed over the word fraud

Ramp-and-dump schemes on the rise, FINRA warns

SRO sees surge in scams involving foreign-issuer, small-cap IPOs

Financial stock exchange market display screen board on the street

Worthless rewards drive trading activity: OSC study

Certain behavioural nudges influence investors, regulator finds

cryptocurrencies

Federal regulators fire warning shot on crypto

OSFI, FCAC, CDIC call out firms' conduct, prudential responsibilities

Financial stability risks rising, ECB warns

Deteriorating economic, financial conditions could amplify financial sector stress

cryptoassets regulation

FINRA signals crypto sweep

SRO seeks information on firms' recent crypto-related communications

European Union headquarters

Rooting out greenwashing sources and solutions

Europe's regulators launch consultation that will inform potential policy

MX reboots industry committee

Deadline for applications to join regulatory division committee is Dec. 15

Businessman Blowing Whistle Isolated on White Background

SEC enforcement reaches record heights

Volume of disciplinary actions and total financial sanctions rose in fiscal 2022

business man using magnifying glass to inspect documents

S&P settles SEC rating conflict case

Rating agency's sales personnel pressured analysts on RMBS transaction, regulator alleged

man being rescued by lifeboat

Financial sector climate analysis underestimates threat

Efforts to sketch scenarios don't capture tail risks, FSB analysis warns

Former fund rep sanctioned over clients’ estate disclosures

Potential conflicts involving clients' wills weren't reported to dealer

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Ex-rep banned, sanctioned $5.9 million

IIROC alleged the rep misappropriated millions from elderly clients