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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

cryptocurrencies

SEC beefs up crypto enforcement unit

The regulator added 20 staffers to its crypto enforcement team

Biotech exec sanctioned for illegal bond sales to foreign investors

Firm violated B.C. law when it raised funds from Taiwanese investors, panel found

ETF class action proceeds, raising bigger issues

The "hybrid" regulation of ETFs makes it impossible to bring a class action for misrepresentation, court finds

social media

European regulators seek to rein in firms’ nudges

ESMA aims to boost protections against emerging risks such as gamification

Hand holding Temperature measurement tools with copy space stock photo

Helping regs get their heads around climate risks

FSB launches consultation on emerging supervisory approaches to climate concerns

Laurentian fined for AML lapse

FINTRAC review uncovered compliance violation, imposed $487K penalty on Laurentian Bank

Queen's park, Ontario

Ontario budget promises little in the way of capital markets reform

Bay Street and regulators are now in a relative calm after a regulatory storm

Ontario Legislative Building at Queens Park in Toronto Ontario

Ontario proposes new tax credit for seniors

Tories also propose enhancing existing tax credit for low-income earners

angry client meeting

Regulators seek radical transparency for fund fees

CSA, CCIR propose new cost reporting requirements for investment and seg funds

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

OSC seeks ban for Ponzi schemer

ASC banned convicted forex fraudster earlier this year

Crowdfunding, payment platforms face new KYC rules

FINTRAC says platforms must register, comply with anti-money laundering regulations

Investor Bill Hwang, once worth billions, indicted on fraud

Hwang owned a New York–based hedge fund that collapsed when it defaulted on margin calls

As CFRs loom, some still struggle with CRM2

BCSC compliance reviews find CRM2 failings alongside registration and marketing gaffes

rules and regulations

Ontario’s regulators set their agendas

Advisor titles remain a concern for provincial securities authorities

Alterna emerges as new home for PACE assets

FSRA strikes deal for core assets of troubled firm

Close-up of British bank notes

Fintechs failing at financial crime prevention, FCA finds

Crime controls, client checks deficient at "challenger" banks, the British bank regulator warns

Modern office building close up in sunlight

OSFI releases risk outlook of financial system

Cyberattacks, cryptoassets, housing and corporate debt are among the critical issues addressed

  • By: IE Staff
  • April 21, 2022 April 21, 2022
  • 16:21
compliance solutions rubber stamp

FSRA to approve more credentialing bodies soon

The Ontario regulator provided implementation details on title protection

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

Court upholds pension plan’s move to boost retirement age

B.C. Supreme Court rejects challenge to trustees' solvency fix

FINRA flags liquid alt concerns

Sales practices, supervisory issues dog alt fund sales, says the United States Financial Industry Regulatory Authority

FCA sets board, executive diversity targets

British public companies would have to "comply or explain" under proposed gender, ethnicity goals

Canadians charged in US$100-million scam

Long-running series of pump and dumps targeted retail investors, U.S. authorities allege

Court upholds SROs’ ability to enforce decisions

Ontario judge sides with MFDA in attempt to collect sanctions