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OSC permanently bans convicted fraudster

The ASC had permanently banned Christopher Uitvlugt earlier this year

  • By: IE Staff
  • July 20, 2022 July 20, 2022
  • 12:59
Parliament Hill in Ottawa - Ontario, Canada

Luxury tax coming Sept. 1, but draft regulations still pending

Draft regulations, to be released shortly, will provide some relief to certain vehicle manufacturers

  • By: IE Staff
  • July 19, 2022 July 19, 2022
  • 11:37

New chair, director for MFDA

SRO taps Steven Glover as new chair, brings Steven Donald back to board in new role

whistleblower

Investor, insider tipsters awarded US$6 million

Whistleblowers get US$3 million each in payouts for alerting SEC to suspected misconduct

RBC Bank branch stock photo

B.C. court sends wrongful dismissal suit against large Canadian bank to Hong Kong

Former RBC DS executive seeking $3.9 million

climate change

Action on climate threat “more urgent than ever”: FSB

The global policy group recognized progress, but also called for more work to tackle financial-sector climate threat

announcement

CSA names new investor panel

Lawyers, academics named to new advisory group

Bitcoin cryptocurrency with a pile of coins and smartphone, Vector illustrator

Same risk, same regulation for stablecoins

IOSCO, CPMI say systemic stablecoins must meet post-crisis settlement standards

Modern Keyboard Button with Vote Icon - Online Voting and Election Concept

SEC curbs recent proxy voting reforms

Both proxy advisors and industry groups were disappointed with the regulator's new direction

Stock trader in stress stock illustration

Financial stability risks rising, FSB warns

Weaknesses hidden by the pandemic response may now emerge as economic conditions degrade

Extreme closeup of an annual report -- based on the "portfolio facts," the fund is a 100% stock mutual fund

Enforcement action up at MFDA in 2021

New cases, sanctions, and fine collection rates all rose, though volume of cases opened during the year declined to 414 in 2021 from 461 in…

a teacher standing over a student who is hiding test answers in his hidden palm.

Online exam cheats nabbed by FINRA

SRO brings first cases to allege investment banking exam takers cheated on remote tests

Ontario amends estate forms, again, to clarify instructions

The province aims to streamline probate applications and speed the court review process

IIROC solicits advisory committee nominations

SRO committees focus on market regulation, fixed-income trading issues

Risky, complex ETFs raise hackles at SEC

Regulators see added risks in new leveraged, inverse single-stock ETFs

client meeting

FSRA crafts committee on planner, advisor issues

An advisory group will provide input on title regime and oversight

Magnifying glass icon in flat style. Search loupe on color background. Business analytic charts illustration. Vector design object for you project

FINRA seeks oversight of OTC options trading

The U.S. SRO aims to detect misconduct in under-the-radar market

Fed’s Bullard: Solid U.S. economy can handle rising rates

Esther George of the Kansas City Fed sounded a more cautionary note in a speech Monday

Mature businesswoman looking out of window with face mask

Girding for the next financial calamity

IOSCO found lessons for resilience in the pandemic response

cryptocurrencies

Wakeup call for crypto — you need regulation too

The FSB says the crypto sector must face the same rules as traditional financial markets

Judge's gavel with magnifying glass on black.

Money back for Bridging investors? Not so fast

Numerous issues need resolving before an initial distribution can happen

Little girl and dad saving money in piggy bank stock photo

Fitch commends money market reform proposals

Regulators' efforts to address liquidity crunch should strengthen money market funds

A river overflows its banks in Northern Nova Scotia

Banks need to raise game on climate risk: ECB

Only one in five banks surveyed consider climate risk when granting loans

London bridge aerial view from the porthole stock photo

Top securities regulator CEO heads to FCA

Ashley Alder will leave his role as CEO of Hong Kong SFC to chair U.K. Financial Conduct Authority

Former rep’s side hustles end in SRO sanctions

Real estate deals, outside businesses and exempt market sales violated MFDA rules, panel found