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SEC seeks level playing field for retail investors

Regulator to consider sweeping market structure reforms

LME faces hedge fund complaint over nickel turmoil

Trade group unhappy with market controls, cancelled trades

advisor and client meeting

CIFP approved as credentialing body for Ontario financial advisor, planner titles

RFRA, RRA and RRC are the latest approved designations

  • June 8, 2022 June 8, 2022
  • 15:36

B.C. court certifies cyber-breach class action

Lawsuit on behalf of Canadian credit card customers seeks $800 million in damages

Ahead of new SRO, MFDA names council members

Appointees will join new SRO's disciplinary committees

CFTC consults on climate risk

Regulator aims to get educated on climate concerns for derivatives, commodity markets

Merrill Lynch resolves mutual fund overcharging case

Firm's systems failed to spot clients who were eligible for cheaper fund series

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 OpenSea employee charged in first NFT insider trading case

DoJ alleged man traded on inside information about non-fungible tokens

IIROC hits Ng with record $5-million fine

The penalty follows allegations that he deceived lenders with fake collateral

IIROC sanctions former exec over syndications

The SRO alleged the firm sought new issue allocations for its own account

Man painting pollution green

Deutsche Bank, subsidiary raided over ‘greenwashing’ claims

A former manager claimed the asset management firm exaggerated the environmental credentials of certain funds

European regulators call for consistency in greenwashing fight

Guidance seeks more uniform approach to regulatory oversight

man reading tablet and writing on paper

Retail investor fund costs need oversight: ESMA

Sweeping compliance review finds issues with fund industry charging practices

cryptoassets regulation

U.K. preps for systemic stablecoins

HM Treasury proposes framework for handling a major crypto's collapse

Modern office building close up in sunlight

Six months before merger, IIROC issues bucket list priorities

The SRO detailed its policy priorities for the year

OSC reaches mixed verdict in complex insider trading case

Allegations involved trading ahead of a planned acquisition by Amaya Gaming

FCA aims to boost listings

Regulator launches new consultation on reforms to enhance public markets

A side view of a curly fancy businessman in a formal suit using an outdoor cash dispenser to withdraw money from his account, with a copy space place on the left for your text or logo (A side view of a curly fancy businessman in a formal suit using an

FCAC finds big banks make ‘inappropriate’ product recommendations

Mystery shopping exercise finds consumers felt good despite banks’ poor sales practices

gavel on a laptop

OSC panel dismisses fund rep’s insider trading allegation

Tribunal rejects circumstantial case, concluding trades are suspicious but not clearly offside

climate change

OSFI proposes climate risk guidance

The regulator plans to phase in mandatory TCFD disclosure requirements

Lightbulb drawn around tree image, indicating sustainable ideas

SEC proposes anti-greenwashing fund reforms

Proposals to enhance disclosure to fund investors out for 60-day comment period

ECB sees financial stability under growing threat

Economic, financial fallout from Russian invasion is driving increased risks

GameStop

Broker sanctioned over meme stock misdirection

Firm deceived investors about trading halt, SEC alleges

ESG results

Decoding ESG funds’ mysterious outperformance

Portfolio composition explains some but not all of ESG funds' advantages, ESMA finds

climate change

Early climate action the cheaper option for banks

Tough U.K. stress test finds financial costs rise as climate action is delayed