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Green forest

SEC sanctions mutual fund greenwashing

Fund manager pays US$1.5 million to settle allegations involving ESG disclosure

U.K. regulators ponder post-pandemic reforms for money markets

The FCA is seeking changes to address liquidity concerns revealed in March 2020

NASAA targets deadbeat brokers

Model rule, if implemented by regulators, would add enforcement teeth to arb awards, sanctions

ESG sustainable growth

G7 gives thumbs up to ISSB disclosure standards plan

Pursuit of global climate standards needs industry, policymaker participation

Former rep fined, banned for misappropriated client money

MFDA alleged over $300,000 was taken through early GIC redemptions, withdrawals

Spotting the next Archegos before it blows up

ESMA review finds clues to growing risk, says work needed to improve oversight

Allianz Global pays US$6 billion to resolve fraud charges

Fund managers hid risk of complex trading strategy that blew up in March 2020

dollar sign

Regulators greenlight CDOR benchmark reform

Industry to scrap the Canadian dollar offered rate by mid-2024

Russian Ukraine conflict concept

As Russian invasion drags on, investor protection worries linger

European regulators set expectations for investment funds and issuers amid the conflict

Metal handcuffs placed over the word fraud

Private equity fund CEO gets jail for fraud

Scheme secured US$133 million in loans based on forged documents

Cloud outsourcing poses systemic risk

ESMA paper says policy action may be needed to ensure resilience

CSA unveils new SRO’s board

The Canadian Securities Administrators say the new SRO's CEO will be named in the coming weeks

Montreal stock exchange tower against a clear blue sky.

UBS settles with MX

Firm settled allegations involving unapproved electronic access

Former Fortune head gets jail time

David Singh was sentenced to three and a half years in jail and ordered to pay $4.8 million in restitution

rules and regulations

Automated disclosure fails retail investors, Europe’s regulators say

Recommendations aim to address poor practices in investment product disclosure

Inflation, Ukraine overtake Covid as biggest threats to financial system, Fed says

The observations came in the Fed's semiannual Financial Stability Report

gavel on a laptop

Ontario court allows proposed class action over bank fee disclosure to proceed

Plaintiff brought case on behalf of TD Bank clients who were charged multiple NSF fees in connection with a single transaction

Multiethnic group of people cooperating for environmental protection

SEC extends climate disclosure consultation

Proposed climate standards will get more time for comment

SEC: Nvidia failed to disclose crypto as revenue generator

The firm will pay a US$5.5-million penalty but did not admit or deny the SEC's findings

They promised crypto profits but bought Lambos instead: SEC

Global crypto mining and trading scheme was a sham, U.S. authorities allege

BitMEX co-founders sanctioned by CFTC

Trio failed to implement controls to prevent violations of derivatives, money laundering rules

Shocked middle aged mature woman feeling stressed reading unbelievable online news, surprised senior old lady looking at laptop amazed by unexpected stuck computer problem sit on sofa at home (Shocked middle aged mature woman feeling stressed reading

Screen-sharing scams surge, U.K. regulator says

Investors are getting duped into enabling remote access for fraudsters

SEC alleges motley insider trading scheme

Front running unreleased stock picks netted US$12 million in illicit profits, U.S. authorities say

FSRA approves another credential for financial planner title

The Canadian Securities Institute is the latest approved credentialing body for Ontario financial planners

  • By: IE Staff
  • May 4, 2022 May 4, 2022
  • 12:05
Modern office building close up in sunlight

Intensity and persistence of supply chain disruptions surprised Bank of Canada

Deputy governor Carolyn Rogers said a clear view of the future has been hard to come by over the last two years