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Businessperson examining contract with magnifying glass

CSA issues advisory on Canada Post strike

Contact your local securities regulator for guidance on client, CSA member mail

  • By: Kevin Press
  • November 15, 2024 November 15, 2024
  • 15:14
Bitcoin

Bitfinex hacker gets prison time

Husband, wife sentenced on money laundering conspiracy charges

consultation discussion

FCA seeks redress system reform

Regulators aim to improve handling of systemic issues

environment

U.K. to regulate ESG ratings providers

Government aims to instil confidence in ratings, drive growth, and deter greenwashing

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

CIRO sanctions supervisory lapses at Desjardins

Firm failed to oversee trading activity by a couple of its reps

Sustainable investing

IOSCO seeks to bolster carbon markets

Regulator issues report with recommendations for building safe, sound markets

digital investing

FSB sounds alarm on AI risk

Growing AI adoption poses rising financial stability risks too, group warns

Businessman inspecting paperwork document digitally

Transition plan disclosure falling short: IOSCO

Lack of standards inhibits consistent, comparable disclosure, regulators find

Filling out form

Ontario consults on new pension payout option

Consultation seeks feedback on framework for variable life benefits

Tiff Macklem

BoC’s Macklem to chair BIS advisory committee

Central bankers group also names new general manager, re-elects chair

Piggy bank and coins on blue background

FINRA poised to hike brokers’ fees

Fee increase to be phased in over five years, bring projected revenues in line with expenses

Sustainable investing

As climate action lags, disclosure does too

Few companies fully reporting voluntarily, mandatory standards scarce

Fines graphic

The perils of automating anti-money laundering controls

U.K.'s FCA fines bank over faulty automated transaction surveillance system

Collage of british pounds

FCA to revise its approach to enforcement disclosure

Regulator commits to reform after judicial rebuke

IOSCO proposes fund liquidity risk reforms

Consultations target liquidity mismatch vulnerabilities at investment funds

EQ Bank Insurance

IOSCO names new secretary general

Spain's top regulator to lead global group of regulators

Greenwashing ESG

Invesco settles SEC greenwashing charges

Regulator alleges firm overstated the extent of funds' ESG integration

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Former TD employee indicted for distributing customer data on Telegram

The employee worked in the bank's anti-money laundering department

new label

CIRO taps Fitch Learning for new proficiency model

Firm to help build infrastructure for new exam-based approach to reps' education

Businessman examines statistics on a page

CSA flags AI washing, greenwashing disclosures

Regulators' reviews lead to more enforcement, refiling action

Dispute at desk

OBSI reform slated for second half of 2025

CSA says next phase of consultation to come next year

The Australian Coat of Arms in metal hangs on the glass wall of a building that reflects another high-rise across the street.

ASIC consults on climate reporting guidance

Large companies, financial institutions to start climate-related financial disclosures in 2025

Judge looks at papers

Case against Cormark was regulatory overreach: Tribunal

OSC failed to prove any of its allegations against dealer, investment banker

Fraud

Fund rep sanctioned for allowing ‘stealth advising’

Leverage strategy deployed on the down low resulted in hefty financial losses

Magnifying glass on documents

OSC reviews funds’ risk ratings, ETF regulation

Regulator examines use of discretion in ratings, following OBSI alert