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cryptoassets regulation

Crypto poses potential threat to financial stability

Report calls for action on enforcement and regulatory gaps

SRO may adopt new regulatory oversight model

The new organization is looking at joint oversight that rotates among CSA jurisdictions

Pile of cryptocurrency coins

Kim Kardashian settles with SEC over crypto promotion

The crypto industry often uses influencers and celebrities to promote new tokens or products

Crypto offering a fraud, OSC, SEC allege

Regulators say investors were misled about bullion backing digital token

cryptocurrencies

Global banks’ capital high, crypto exposures low

Novel Basel Committee data finds minimal crypto holdings at global banks

SEC sanctions firm for faulty audits

RSM allegedly failed to properly carry out audits of a firm that was found to be inflating revenues

OSC, SEC allege insider trading by newswire workers

Regulators allege that traders made over US$1 million in illicit profits

Business partnership meeting. Picture businessmans handshake. Successful businessmen handshaking after good deal. Horizontal, blurred (Business partnership meeting. Picture businessmans handshake. Successful businessmen handshaking after good deal. Ho

SRO reform a go after dealer vote

Fund dealers, investment dealers approve merger, with new SRO to launch in 2023

Fed plans climate scenario exercise with six banks

Pilot program in 2023 will test effects of climate risks on banks' businesses

SEC sanctions lazy audit effort

Deloitte's Chinese division had clients do some of their own audit work

Financial Services Regulatory Authority of Ontario logo

Certain MGAs pay multiple life agents for a single sale, FSRA says

Draft Ontario MGA regulation coming in 2023 as a result of concerns found in FSRA's review

BoC to publish detailed summaries on policy deliberations after IMF recommendation

The summaries will be released about two weeks after each monetary policy decision starting in January

Private texting costs Wall Street firms US$1 billion

SEC sanctions firms for pervasive record-keeping violations

advisor with client

Don’t assume retail investors “get” inflation risk

European regulators warn industry to pay special attention to inflation in disclosure and suitability

OSC seeks industry reps for advisory group

Registrant Advisory Committee calls for new members

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CSA seeks to modernize fund disclosure

Proposals would allow fund managers to post financial statements and management reports on designated websites

Pile of cryptocurrency coins

New York attorney general, state regulators go after crypto lender

Authorities allege crypto firm traded securities without registration

Trio behind US$100 million deli face fraud charges

SEC, DoJ allege that market manipulation drove penny stock to outlandish valuation

ASC imposes large cost for dragging out regulatory hearing

Defence tactics in a crypto case ended in a costs award that far outweighed the sanctions

cryptocurrencies

IRS seeks crypto tax cheats

Agency sees widespread tax evasion in crypto space

gavel on a laptop

IT guy admits to insider trading hack

Insider trading ahead of Motley Fool stock picks netted millions in illegal profits

Judge's gavel with magnifying glass on black.

OSC to examine audit firms

Inquiry follows exam cheating scandal, other auditor misconduct

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Better the devil you know? SRO dealers set to decide

Dealers will vote Sept. 29 on the fate of the IIROC-MFDA merger

Queen's park, Ontario

Advocacy groups slam Ontario on advisor education

Groups laud Saskatchewan's interest in higher standards

business man using magnifying glass to inspect documents

Mutual fund sales practices face fresh scrutiny

The CSA is reviewing distribution arrangements for in-house funds