Home News From the Regulators Page 55

Latest news in From the Regulators

Cyber resilience in doubt, IOSCO finds

Review finds weaknesses in tech recovery, testing at financial infrastructures

European Union headquarters

Europe’s inflation likely hasn’t peaked, ECB’s Lagarde says

Inflation hit 10.6% in October

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

Tribunal rejects bid to make Bridging evidence confidential

Lack of jurisdiction and evidence of harm underlie the decision not to intervene

Businessman Blowing Whistle Isolated on White Background

Involved in misconduct, but still a whistleblower

Tipster gets US$20 million despite involvement and delay in reporting

FSRA proposes DSC ban for seg funds

Proposal would eliminate regulatory arbitrage between seg funds and mutual funds

Wealthsimple Advisor settles client privacy case with MFDA

Regulators alleged the firm's onboarding process for new reps was deficient

Modern office building close up in sunlight

Regulators see threat to stability in shadow banks’ growth

Ties to banks and weak risk management raise concern for Basel Committee

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,

Global housing price growth slows: BIS

Despite the recent slowdown, prices are higher than pre-pandemic levels

merger

New SRO gets formal approval from CSA

Provincial regulators finalized recognition orders and interim rules

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