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a man on a precipice

ESMA to examine funds’ valuation practices

Valuation risks could threaten financial stability, European regulators warn

FINRA sanctions Credit Suisse

Firm violated SEC and SRO rules, including analyst disclosure requirements

CSA takes third crack at derivatives conduct rules

Proposals aim to address issues exposed in financial crisis, scandals

Ahead of rejig, OSC adds bench strength

Regulator adds six new commissioners, re-appoints three others

words ESG on a wood block and Future environmental conservation and sustainable ESG modernization development by using the technology of renewable resources to reduce pollution and carbon emission.

CSA shines a light on greenwashing

Regulators issue ESG disclosure guidance for investment funds

cryptocurrencies

IOSCO, ISDA grapple with crypto’s emergence

Standards setters develop scaffolding for fledgling asset class

Bitcoin

U.K. targets false advertising in crypto space

As crypto ownership has grown, knowledge has dropped, government says

Court approves $125-million settlement in “David vs. Goliath” case

The class action alleged CIBC failed to disclose U.S. subprime exposure during the financial crisis

From influencers to confetti drops, investor protection threats evolve

International regulators are consulting on measures for overseeing an increasingly digitized retail investment business

After escaping ASC sanctions, man faces new charges

Regulator alleges man violated trading, officer bans

Queen's park, Ontario

FSRA finalizes title regulation rules

Final rules sent to minister for approval; implementation remains uncertain

U.S. Ponzi schemer gets 17-year jail sentence

A United States federal court ordered Perry Santillo to pay US$103 million in restitution. Some clients suffered six-figure losses as money from new investors went…

natural environment

No time to waste on climate risk, BoC and OSFI warn

Scenario analysis finds that delaying policy action raises the economic and financial sector impacts

Business meeting during Coronavirus pandemic.

IOSCO seeks pandemic lessons in resilience

Continuity planning enabled firms, trading venues to ride out disruption

FINTRAC fines credit union

Regulator sanctions firm for anti–money laundering compliance violations

Close up of businesswoman using calculator while going through financial bills.

CSA adopts changes to auditor oversight rules

The amendments give regulators access to audit work performed by foreign firms

  • By: IE Staff
  • January 13, 2022 January 13, 2022
  • 14:50
advisor-client meeting

IIROC proposes rule amendments to better protect investors

Changes include clearer requirements for dealers to conduct investigations

  • By: IE Staff
  • January 13, 2022 January 13, 2022
  • 14:08

Affinity fraud targeted Pakistani-Canadian community, OSC alleges

Regulator says scheme took $2 million from investors

announcement

FSRA to shine a light on enforcement

The regulator is stepping up public disclosure of disciplinary actions

changes ahead sign

OBSI releases strategic plan amid increased scrutiny

Promises for action on OBSI have repeatedly gone unmet, however

“If we have to raise interest rates more over time, we will,” Powell says

The Fed chair said Tuesday that inflation poses a major threat to the job market

Nova Scotia regulator bans repeat offender

The former rep was also ordered to pay a $500,000 fine for securities violations

business man using magnifying glass to inspect documents

Market data faces scrutiny from U.K. regulator

FCA launching series of studies in response to anti-competitive concerns

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

IIROC panel sanctions rep for KYC violations

Clients lost over $1 million on risky options strategy in market crash

cryptocurrencies

Crypto scams top regulators’ list of threats

Stories of "crypto millionaires" have led to big bets and big losses