Home News From the Regulators Page 54

Latest news in From the Regulators

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

IIROC sanctions futures firm for supervisory failures

Firm agreed to $100,000 sanction, admitted oversight violations

CSF launches continuing education portal for advisors

The Quebec self-regulatory organization will make the portal available in January

Bridging hearing slated for second half of 2023

Motion to stay case alleging abuse of process to be heard in May

parliament hill

Covid benefits helped economy rebound, but post-payment verification lacking: AG

The report said $4.6 billion went to ineligible people and another $27.4 billion should be investigated

IIROC seeking feedback on arbitration program overhaul

Proposals include increasing the limit on claims and publishing arbitration decisions

BCSC bans fraudsters, orders $1.5M in sanctions

The panel imposed $1.1 million in penalties and $400,000 in disgorgement over a fuel-cell scheme

SEC warns firms of identity theft risks

Weaknesses in firms' practices uncovered in compliance exams

New SRO should oversee Quebec’s fund dealers: IIAC

Trade group calls on provincial finance minister to review fund dealer oversight

Green forest

IOSCO task force to tackle transition to net zero

Sustainable Finance Task Force ready to rule on ISSB disclosure standards, carbon markets

A river overflows its banks in Northern Nova Scotia

Fed tackles banks’ climate-related risks

Agency issues proposed principles for large banks to address climate risks

Retro woman wearing hat and smoking cigarette. 1930s classic portrait.

ASIC sanctions Vanguard for alleged greenwashing

Underlying index failed to screen out tobacco sellers, regulator charged

Queen's park, Ontario

Ontario appoints Kevan Cowan as new OSC chair

Cowan replaces Heather Zordel, who resigned last month

  • By: IE Staff
  • November 30, 2022 November 30, 2022
  • 17:13

Insurance regulators release guidance targeting unfair incentives

The regulators concluded that some incentive practices may present risks to the fair treatment of customers

  • By: IE Staff
  • November 30, 2022 November 30, 2022
  • 16:04
investing with a smart phone

The post-pandemic investor protection challenge

IOSCO report recommends practices for investor protection and education during a crisis

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

FCA sanctions Swiss firm over corrupt dealings

Julius Baer was fined £18 million for suspect dealings with a Yukos employee

MX disciplines HSBC over electronic access

Firm sanctioned over unapproved access to exchange's systems