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Various bonds rating from single C to AAA

Hedge fund manager convicted in vote-rigging scheme

Co-conspirators secretly took control of company's bonds to rig a vote that gave them millions

Metal handcuffs placed over the word fraud

Fraudsman gets 10 years for boiler room scheme

Scammers posed as legit Wall Street brokers to dupe investors

CSA to host roundtable on derivatives rules

Regulators to prep industry for forthcoming conduct regime

Hands adjusting risk

Regulatory peril is banks’ top governance risk: Fitch

Failings that inflict broader reputational harm or signal deeper issues are most likely to impact credit ratings

Bitcoin

Crypto and FOMO lure retail investors, ASIC finds

Only equities outrank crypto in retail portfolios, Australian research says

Wall Street traders convicted of spoofing: DoJ

Total of 10 traders now found guilty of manipulating futures markets

A person inside a financial maze made out of hedges.

SEC, CFTC to step up hedge fund reporting

Regulators propose expanding post-crisis reporting requirements

Aggrieved investor must pay back loan, court finds

Ontario court orders summary judgment in favour of bank

Doggedness pays off for tipster

Whistleblower receives US$13 million after hounding SEC about misconduct

Allowing financials to go electric

The feds are consulting on virtual meetings and "access equals delivery" in the financial sector

Skyline of the financial district

Feds consider diversity rules for financial firms

Following CBCA changes and CSA discussions, the government is consulting on requirements for federal-sector firms

CRA says it has $1.4 billion in uncashed cheques sitting in its coffers

The agency will be sending e-notifications to thousands of Canadians

new rules

SEC proposes governance rules for clearing firms

Proposal sets tougher independence requirements for boards and committees

Pile of cryptocurrency coins

U.S. bans crypto “mixer” for money laundering

U.S. Treasury sanctions Tornado Cash

Returning lost money likely to attract fraudsters

Scammers will try to exploit New Brunswick's new unclaimed property regime, regulator warns

Wooden blocks with percentage sign and arrow up, financial growth, interest rate increase, inflation concept

Credit risks rising, regulators warn

BIS has heightened concern about real estate, leveraged loan markets

rules and regulations

Regs seek to shore up central counterparties

IOSCO, CMPI launch discussion of infrastructure firms' resilience

cryptocurrencies

U.K. undertakes crypto review

All-party policy group launches inquiry into regulation of crypto sector

Digital signature document

FINRA flags digital forgery issues

Firms are increasingly reporting digital signature falsification

piggy bank with flag of Canada

Industry preps for the end of CDOR

Legal, operational issues may arise with loans as key benchmark is eliminated

Entrance to the U.S. Commodity Futures Trading Commission (CFTC) on their headquarters building in Washington; CFTC is an agency of the US government.

New crypto oversight legislation arrives as industry shakes

U.S. senate bill would give CFTC oversight of digital commodities

Robinhood Crypto fined $30M for AML failings

New York regulator says firm's compliance didn't keep pace with its growth

Financial stock exchange market display screen board on the street

FINRA plots bond transparency boost

The SRO proposed cutting the trade reporting deadline from 15 minutes to 60 seconds

cryptocurrencies

SEC alleges US$300 million crypto Ponzi scheme

Founders and U.S. promoters were charged after other regulators failed to shut down the scheme

SEC seeks expansion of SRO oversight

Proposal would narrow exemption from FINRA for prop trading firms