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Failed leverage strategy ends in sanctions

MFDA panel fines, bans rep after finding numerous violations

Junior miner, execs sanctioned for disclosure lapses

Firm failed to disclose status of mining rights in Peru, OSC alleged

Coin pouring faucet stock photo

SEC proposes tougher liquidity rules for funds

Rules aim to make it easier for funds to meet redemptions amid market stress

senior colleague back to work with face mask greeting on each other in office morning stock photo

Reps’ retirement poses risks to clients

FINRA issues new guidance on brokerage business succession planning

Convicted fraudster accused of duping brokers

Ponzi schemer exploited brokers' instant credit policies, SEC alleges

Businessman Blowing Whistle Isolated on White Background

SEC tipster gets US$10 million reward

Resulting enforcement action led to investor recovery, the regulator said

Ottawa Ontario Canada Sunset

Amid growing criticism, Macklem says Bank of Canada’s independence not under threat

Forecasters are expecting higher interest rates to trigger a recession

Pile of cryptocurrency coins

Crypto platform banned, sanctioned

Poloniex platform sanctioned for unregistered trading with investors in Ontario

Ex-rep sanctioned after ignoring red flags

Settlement follows violations including overlooking suspicious trading activity

FCAC sanctions CIBC for loan disclosure failings

Certain fees were not disclosed to borrowers for almost 20 years, regulator alleged

IIROC enforcement fund approved for SRO integration costs

SRO gets green light to help finance initial merger costs

More women on boards, but not in top role

More directors are female, but few lead boards — and fewer still are CEOs

Court asks for evidence of closet indexing

Plaintiffs in proposed class action must show that active funds tracked index

ESMA steps up scrutiny of ESG disclosure

Fight against greenwashing replaces retail investor costs as regulators' top priority

Universal life shouldn’t be universally recommended, regulator says

At an annual Advocis event, FSRA raised concern about sales incentives being misaligned with customer needs

SEC adopts exec comp clawbacks

New rules require exchanges to adopt listing standards that set provisions for clawing back pay earned through misconduct

SEC beefs up fund cost, performance reporting rules

Rules streamline fund reports, call for truth in advertising on fees

investing with a smart phone

FCA examines big tech’s role in financial sector

Consultation considers impact of tech giants on competition, consumers

Queen's park, Ontario

Heather Zordel resigns as chair of Ontario Securities Commission

Zordel was the first chair of the provincial securities regulator under its new structure

Man painting pollution green

The lurking risk of greenwashing in Canadian funds

DBRS finds wide divergence in sustainable investing approaches and transparency

School exam student's taking educational admission test in class, thinking hard, writing answer in university classroom, education and world literacy day concept (School exam student's taking educational admission test in class, thinking hard, writing

OSC tests out education, experience exemption

The pilot program expands accredited investor exemptions beyond financial metrics

Greenwashing and isolated green warning sign against white background stock illustration

FCA proposes anti-greenwashing rules

The proposals would restrict the use of "green" terms and set disclosure rules

Judge's gavel with magnifying glass on black.

FSRA initiates enforcement action over MGA’s training practices

The regulator alleged a firm's training instructs life agents to mislead consumers, which the firm refutes

  • By: IE Staff
  • October 25, 2022 October 25, 2022
  • 11:32

OSC, SEC settle with pot company

Regulators resolve accounting irregularity case with dually listed firm

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

Court-appointed counsel says there’s no legal basis to treat Bridging investors differently

A hearing next month will examine whether certain investors are entitled to priority claims