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usinesswoman studies financial market to calculate possible risks and profit

Financial stability risks remain elevated, regulators say

European regulators call for vigilance amid economic, geopolitical uncertainties

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Pension regulators unveil new guidance

CAPSA replaces 2004 guideline, consolidates risk management guidance

Dogecoin

Crypto ATM operator faces first FCA charges

Regulator brings first case alleging breach of money laundering rules involving unregistered crypto activity

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ASIC calls for distribution improvements

Poorly designed KYC questionnaires at the heart of recent enforcement actions

Judge looks at papers

U.S. court orders disgorgement in binary options case

Investors lost over US$100 million in illegal scheme, CFTC alleges

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Firms get more time for FCA greenwashing rules

Complying with new ESG naming requirements proving harder than expected for some firms, regulator says

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SEC tackles companies’ anti-whistleblower provisions

Seven companies settle allegations that labour contracts violated SEC rules

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Environmental groups should be held to same anti-greenwashing standards: CAPP

Group says the new law effectively silences climate policy discussion

  • September 5, 2024 September 5, 2024
  • 14:26
Judge looks at papers

Investors must be free to talk to regulators: SEC

Firms settle allegations that confidentiality deals impeded communications with regulators

Illustration of a businessperson using a magnifying glass to examine files

OSC enforcement summonses coming to your inbox

Government proposes easing service requirements for investigative notices

Bank of Canada note

BoC cuts key rate again, signals more cuts ahead

The key lending rate is now 4.25%

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

Rating agencies settle SEC texting charges

Firms failed to capture employees' private texts, WhatsApp chats

Crumbling bank

Regulators divided on digital bank runs: Fitch

Approach to guarding against deposit flight risk remains unsettled

US dollar

The Fed welcomes a ‘soft landing’

Most Americans, however, are not in the same celebratory mood after the Fed's rate hike campaign

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 $9 million in sanctions, disgorgement

Appeals of Tribunal's merits and sanctions decisions rejected

Judge looks at papers

Court rejects appeals from fund rep, OSC

Both sides appealed rulings involving rep inheriting client's estate

bitcoin investment concept on screen

On custody, crypto should follow tradition: WFE

Trade group issues recommendations for crypto custodians

Concept of a person with many questions

European markets vulnerable to correction

Fund liquidity and credit quality risks loom amid uncertain outlook, says ESMA

Big binders

SEC ramps up funds’ portfolio disclosure demands

Fund industry warns about risks to investors as portfolio reporting increases

Sustainable investing

ASIC tackles greenwashing risks

Regulator details anti-greenwashing efforts, anticipates new disclosure demands

Insurance concept illustrated using wooden blocks

FCA to examine fairness in insurance sales

Regulators has concerns about conflicts, consumer value and competition

Judge looks at papers

CFTC sanctions benchmark manipulation

Swiss firm sold gas cheap to benefit short position, regulator alleges

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Crypto lender settles with SEC

Interest-bearing accounts constituted securities, regulator alleged

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

CIRO fines Stifel Nicolaus $475K for failing to protect confidential info

Info was used to enter into short sale transactions without Stifel's knowledge

rules and regulations

Cryptoasset reporting, LICAT guidelines open for consultation: OSFI

OSFI piloting quarterly guideline publishing