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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

Wells Fargo to pay US$3.7 billion in restitution, penalties

Bank sanctioned over misconduct in auto lending and banking

Businessman Blowing Whistle Isolated on White Background

SEC discretion nets tipster US$37M award

Regulator set aside timing requirements and ordered award for anonymous tips

Court case against ex CannTrust leaders should prompt OSC ‘soul searching’: experts

Observers felt a strong ruling would have sent a message to other pot companies and comforted investors who lost money

cryptocurrencies

Central bankers endorse crypto capital rules

Policymakers to implement Basel's crypto treatment by 2025

Pile of cryptocurrency coins

“Cryptoqueen” cohort pleads guilty to fraud charges

The OneCoin co-founder pleaded guilty over an alleged pyramid scheme that cost investors billions

House placed on coins Men's hand is planning savings money of coins to buy a home concept concept for property ladder, mortgage and real estate investment. for saving or investment for a house,

Maintaining mortgage stress test requirements a wise choice: DBRS

Keeping buffers amid rising risks reflects prudence

Retail investors are evolving

Younger demographic has different investing habits and preferences, FINRA research finds

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