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Regulatory reform, innovation top IAP agenda

Advocacy group calls for regulators to prioritize investor protection

up and down arrows

Reps faced heavier IIROC sanctions in fiscal 2022

Fines, disgorgement and costs orders all rose, the latest enforcement report shows

Global regulators publish cryptoasset roadmap

IOSCO task force aims to have policy recommendations by end of 2023

Tribunal favours public proceedings in Bridging case

Bid to keep compelled testimony confidential was dismissed

Deal to save PACE goes ahead

Troubled firm's loan book, deposits, employees and branches move to Alterna Savings

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

CFTC sanctions financial institutions for swap reporting violations

BNP Paribas, JP Morgan settle separate Commodity Futures Trading Commission cases involving reporting lapses

European Union headquarters

Clearing firms pass ESMA stress test

European regulators call for work to address differences in operational risk exposure

U.K. regulator seeks equity trading reforms

The FCA launched a consultation on trade reporting, transparency and tick size changes

MFDA panel hands down permanent ban, $1.7-million fine

Ex-fund rep misappropriated client money and disappeared

Closet indexing class action fails

B.C. court finds TDAM funds were actively managed

ECB aims to green monetary policy

Climate risk to factor into bond purchases and collateral framework

cryptocurrencies

Crypto rules to make Europe a global leader as prices plunge

Companies issuing or trading cryptoassets face tough transparency requirements

Direction of stock market.opportunity time.buy and sell.change for chance.positive thinking

Enforcement cases up, penalties down last year: CSA report

Regulators refined techniques to analyze cryptoasset trading, report says

  • By: IE Staff
  • June 29, 2022 September 7, 2023
  • 12:52
Concept of real estate, mortgage and lease

OSFI makes real estate loan changes aimed at reducing lender risk

Those who owe more than 65% of the loan value will have to pay a portion toward the loan principal

Ottawa lost average of $22 billion a year in unpaid tax from 2014-2018: CRA

The agency released its first report on Canada's overall tax gap

announcement

IIROC’s Kriegler to lead new SRO

Regulators are also forming a new advisory committee to review SRO consolidation

  • By: IE Staff
  • June 27, 2022 June 28, 2022
  • 17:46

CSA lays out priorities under incoming chair

Three-year plan focuses on CFR enforcement, dispute resolution and crypto

"A stack of pennies on a financial newspaper with stock quotes. Shallow DOF, gold-toned."

Fund manager fined, banned in OSC settlement

Firm violated securities rules by breaching concentration limits, misleading investors

Upset stressed young Asian business man in suit with hands on head sitting on stairs. Unemployment and layoff concept.

U.S. banks ready for severe recession, stress test finds

Annual Fed stress test projects over US$600 billion in bank losses

merger

Crafting complementary, not conflicting, sustainability standards

ISSB and GRI reiterate their pledge to harmonize global reporting requirements

Kucoin stock illustration

Snubbing regulator costs crypto firms millions

Crypto contracts and futures are securities, says the Ontario Capital Markets Tribunal

Pair charged in Fortress Real scheme

RCMP team charges men behind $900-million syndicated mortgage failure

SEC sanctions rating agency for conflicts

Egan-Jones, founder, fined in settlements with regulators

CSA, CCIR double down on total cost reporting pledge

Consultation on improving, harmonizing fund disclosure remains open until July 27

Senate confirms new SEC commissioners

Jaime Lizárraga and Mark Toshiro Uyeda to replace Lee and Roisman as Securities and Exchange commissioners