How to comply with regulators’ guidance on awards
Canadian insurance regulators have not issued a similar warning
- By: Melissa Shin
- January 26, 2024 January 26, 2024
- 16:34
Latest news in From the Regulators
Tribunal trims sanctions against former rep
After partly overturning SRO's ruling, tribunal reduces fine, disgorgement orders
- By: James Langton
- January 26, 2024 January 26, 2024
- 16:19
Crypto Queen’s lawyer lands in jail
Money laundering lawyer gets 10 years in prison
- By: James Langton
- January 26, 2024 January 26, 2024
- 14:32
Small firms need living wills: OSC
Regulator calls for continuity plans at one-man shops
- By: James Langton
- January 26, 2024 January 26, 2024
- 14:25
CIRO proposes personal corporations for reps
SRO consults on options for resolving long-standing regulatory disparity
- By: James Langton
- January 25, 2024 January 25, 2024
- 16:23
Ex-fund rep banned for borrowing from widower
Client cashed RRSPs, paid DSCs, and took credit card advance to lend to rep, regulator alleged
- By: James Langton
- January 25, 2024 January 25, 2024
- 16:03
Global Reporting Initiative revamps biodiversity reporting standard
Revisions aim to enhance corporate transparency to investors, policymakers
- By: James Langton
- January 25, 2024 January 25, 2024
- 13:33
SEC tightens the screws on SPACs
New rules beef up disclosure, investor protections around shell company financings
- By: James Langton
- January 24, 2024 January 24, 2024
- 14:06
China cuts required bank reserves
Move appears to be part of a concerted effort to stabilize the markets
- By: Elaine Kurtenbach, The Associated Press
- January 24, 2024 January 24, 2024
- 10:42
UBS-Credit Suisse merger sparks calls for reform
Swiss financial regulator gets a new leader as it looks to boost scrutiny of the bank
- By: Jamey Keaten, The Associated Press
- January 24, 2024 January 24, 2024
- 09:25
Most crypto communications may be offside: FINRA
Compliance review finds potential violations in 70% of firms' messages
- By: James Langton
- January 23, 2024 January 23, 2024
- 13:27
PwC plans payouts to Bridging investors in 2024
Almost $300 million in disputed claims must be resolved before distributions can start
- By: James Langton
- January 22, 2024 January 22, 2024
- 15:33
All eyes on the BoC this week for any hints on when it plans to cut interest rates
The bank will also publish its quarterly monetary policy report on Wednesday, with new forecasts for the economy and inflation
- By: Nojoud Al Mallees, Canadian Press
- January 22, 2024 January 22, 2024
- 11:51
Cherry-picking crypto trades lands CEO in jail
Commodities advisor hit with first charge of illegally allocating crypto trades
- By: James Langton
- January 19, 2024 January 19, 2024
- 16:54
Crypto scheme’s CEO arrested, charged
Firm fled in face of regulatory attention, prompting investor losses, U.S. alleges
- By: James Langton
- January 19, 2024 January 19, 2024
- 15:00
OSFI increases focus on money laundering
The intensity of money laundering risk is underappreciated, Routledge says
- By: Ian Bickis, The Canadian Press
- January 19, 2024 January 19, 2024
- 13:18
Financial firms lead rise in class action payouts
Mega-settlements drive global settlements to a five year high, ISS unit reports
- By: James Langton
- January 19, 2024 January 19, 2024
- 13:05
Investors recover pennies on the dollar
As millions in sanctions remain unpaid, BCSC orders $70,000 to be returned to investors
- By: James Langton
- January 19, 2024 January 19, 2024
- 12:46
CIRO revises derivatives rules for dealers
First phase of reforms to take effect Sept. 28
- By: James Langton
- January 18, 2024 January 18, 2024
- 16:26
CSA sets rules for crypto funds
Regulators seek to codify initial investment restrictions, custody provisions
- By: James Langton
- January 18, 2024 January 18, 2024
- 12:40
Global regulators add guidance on margin practices
IOSCO, Basel Committee recommendations target non-central clearing markets
- By: James Langton
- January 17, 2024 January 17, 2024
- 16:11
Cutting interest rates too soon in Europe risks progress against inflation, central bank chief says
Sluggish economic growth and the impact of higher interest rates on economic activity have sparked bets on rate cuts
- By: David Mchugh, The Associated Press
- January 17, 2024 January 17, 2024
- 12:37
Early adopters to start nature risk disclosures
More than 100 financial firms have committed to the TNFD recommendations
- By: James Langton
- January 16, 2024 January 16, 2024
- 15:17
Global regulators issue margin proposals
Measures aim to address lessons of market turmoil in early 2020 and 2022
- By: James Langton
- January 16, 2024 January 16, 2024
- 15:06