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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

Analyst gets jail time for front running

Scheme to trade ahead of client orders generated US$8.5 million in illicit gains

Ex-rep sanctioned for off-book dealings

Broker admitted to violating IIROC rules in connection with an undisclosed payment

Territorial defense exercises amid the threat of a Russian military invasion of Ukraine. Military exercises for civilians in Kyiv, Ukraine

Recovery threatened by Russian invasion: EU regulators

The economic consequences of Russia's invasion of Ukraine is aggravating an array of existing risks, the ESMA, EBA and EIOPA warn in a joint report

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Court overturns BCSC asset freeze order

Regulator must provide evidence of likely penalty before granting asset preservation orders

House placed on coins Men's hand is planning savings money of coins to buy a home concept concept for property ladder, mortgage and real estate investment. for saving or investment for a house,

OSC sanctions unregistered mortgage investments

Firm, directors settled allegations of securities violations

Goldman banker convicted in 1MDB scandal

U.S. federal jury finds ex-banker guilty on corruption, money laundering charges

CSA seeks “access equals delivery” for most filings

Proposed regime would apply to prospectuses and financials but not proxies

IIROC fines CIBC World Markets $150K for trading supervision failures

The investment dealer failed to identify and review suspicious trader activity

  • By: IE Staff
  • April 7, 2022 April 7, 2022
  • 11:45
papers on a desk

SRO merger on track for 2022

Interim rules coming in May, with new CEO, board to be named in Q2

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

U.S. exec sentenced in Calgary firm’s accounting fraud

Admitted fraudster gets jail time, ordered to pay restitution

plant with coins

ESG funds outperformed in 2020: ESMA

Active equity and bond funds generally outperformed passive funds for the year

A global network of investment points

Emerging market banks face biggest stagflation risk

North American banks insulated, but securities firms could be hit by dropping equities values, Fitch says

FSRA calls out life agents not following these two practices

In examining dozens of agents, Ontario’s regulator identified 334 “business practice” issues

stock market down

Pandemic, meme stock episodes prompt short selling reforms

ESMA seeks to enhance regulations in preparation for future emergencies

Metals market faces scrutiny after nickel disorder

FCA to review conditions that led to trading breakdown

OSC alleges fraud at Bridging

Regulator charges that executives allegedly diverted funds to themselves, their firm

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Trading apps, finfluencers, crypto to face SEC scrutiny

Regulator details its compliance review priorities for the year ahead

Financial firms shouldn’t pay ransoms, trade group says

Firms should also be prepared for ransomware attacks on regulators

climate change

Global climate reporting standards on the horizon

ISSB publishes first set of draft standards, aiming for final versions by the end of the year

Inauguration Day Washington DC

After a banner year, SPACs could face tougher rules

SEC seeks to level the playing field between SPACs, traditional IPOs

SEC reminds firms to prioritize retail investors’ interests

Best interest rules and fiduciary duties should produce similar outcomes, U.S. regulator says

FCA sanctions asset manager over conflicts

Fund manager fined £9.1 million for failing to oversee gifts and perks

stock market bounce back

Funds need to focus on liquidity risk: ESMA

Regulators call for improvements in stress-testing and valuation