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man being rescued by lifeboat

FCA seeks to extend Covid-era consumer protections

New guidance encourages insurance industry to accommodate financially stressed clients

Financial stock exchange market display screen board on the street

Morgan Stanley sanctioned over MX algorithm access

Firm settled allegations that unapproved employees had access via trading algorithm

Crypto insider trading generates jail time

Man sentenced for trading ahead of listings on platform

FINRA flags rising risk of scams targeting seniors

Compliance exam report documents SRO's emerging and ongoing concerns

Powell: Fed has only narrow role to play on climate change

``We are not, and will not be, a 'climate policymaker,''' the Fed chair said at a conference

Bitcoin

Nova Scotians warned about “pig-butchering” crypto scam that has cost victims $750K

Regulators in North America believe more than $1 billion has been lost to crypto scammers since 2021

Pile of cryptocurrency coins

U.S. regulators’ crypto warning to weigh on sector: Moody’s

Government-led digital money projects are more likely, report says

Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizing profits for large business organizations. (Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizin

SEC charges ex-McDonald’s CEO over firing disclosure

Regulator alleged investors weren't told the truth about CEO's dismissal

gavel on a laptop

NY AG sues former Celsius CEO

Crypto exec defrauded investors of billions, lawsuit alleges

SEC sanctions former fund manager over conflict

Ex-BlackRock portfolio manager sought help for daughter's acting career while investing in film industry

As markets slump, prospectus reviews pick up

With filings slowing down, OSC promises faster turnaround times

Metal handcuffs placed over the word fraud

SEC charges recidivist with new alleged fraud

Scheme promised outsized returns from blockchain investment

IIROC enforcement ended on a high as disciplinary activity rose in 2022

Fines levied against reps last year soared to $7.9 million from $938,000 in 2021

Coinbase in US$100 million settlement

Deal with New York regulator addresses crypto platform's compliance failings

cryptocurrencies

CFO embezzled from SPACs: SEC, DoJ

Exec pleaded guilty to taking money to trade meme stocks and crypto

U.S. regulators highlight crypto concerns

Agencies flag "safety and soundness" risks from banks' crypto activities

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

Court certifies advisor vacation pay class action against RBC

Lawsuit claims advisors' payouts didn't include mandated vacation pay

No-name SRO takes flight

The new agency's leadership is dominated by former IIROC personnel

IIROC fines CIBC World Markets $119K for control failures

Fees charged to certain accounts didn't match fee agreements

  • By: IE Staff
  • December 22, 2022 December 22, 2022
  • 17:26

Will the new SRO shake up title protection in Ontario?

The new self-regulatory organization is considering its role in the evolving regime

Financial Services Regulatory Authority of Ontario logo

FSRA orders Greatway Financial to deliver revised training

Greatway must also send its universal life policyholders information to assist them in assessing the policy's appropriateness

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

Scotia sanctioned for supervisory snafus after multiple reps fired

The firm will pay nearly $11 million in client compensation after reps boosted their own performance numbers

responsible investments fossil fuels oil and gas energy sector

Green labelling for funds a fine balance: ESMA

Criteria need to be strict enough to be credible, without being too tough for fund managers

In a surprise move, Bank of Japan loosens bond yield cap

Japan had been a holdout among major industrialized nations in allowing yields to rise

Shadow banks drove growth in global financial assets: FSB

Non-banks' share of global assets rose in 2021, led by investment funds