Home News From the Regulators Page 8

Latest news in From the Regulators

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

Crypto Ponzi schemer pleads guilty

Investors victimized by phony crypto trading scheme, and worthless token

A person inside a financial maze made out of hedges.

Court strikes down SEC’s private fund rule

Regulator exceeded its authority with its proposed rulemaking

TD bank. stock photo

TD faces class action over money laundering scandal

Claim alleges that bank failed to disclose deficiencies fast enough

Computer keys

IOSCO calls for action on market outages

Software glitches the most common causes of trading failures, regulators find

Fake investment firm sanctioned

Sham fund manager engaged in a Ponzi scheme, regulators ruled

Greenwashing and isolated green warning sign against white background stock illustration

European regulators remind industry to stop greenwashing

ESMA promises tougher oversight, calls on industry to avoid misleading claims

For many, @FinanceBro on par with industry advice

CIRO survey finds investors relying on social media, ranking it as worthy as traditional advice

right or wrong choice

IOSCO tackles rising loan risks

Market has evolved dramatically since the global financial crisis

Europe reviews investment firms’ capital rules

Crypto exposures, operational risks may need capital charges

FSRA puts conditions on ivari’s registration

A monitor must review the selling practices of the MGAs that recruit and supervise agents selling ivari’s products

Shareholder activism hid a pump-and-dump: SEC

Investor floated fake takeover offer to boost stock's price

cryptocurrencies

ESMA issues guidance on crypto conflicts

Rules don't prohibit vertically integrated crypto firms, European regulators confirm

Former U.S. banker sentenced to prison for crypto fraud

Investors were duped with promises of crypto trading returns

WFG, IA fined in connection to alleged unlicensed insurance agent

FSRA is also proposing a penalty of $80,000 for the individual involved

online comments

Regulators eager for responses to sustainability disclosure consultation

Comments on the Canadian Sustainability Disclosure Standards are due June 10

Doing Homework

FCNB joins fight against LLQP cheats

Regulator follows CISRO, FSRA with tougher exam administration policy

Former FTX exec gets jail time

Crypto executive sentenced on federal conspiracy charges

FAIR Canada applauds Saskatchewan’s OBSI bill

"Landmark" legislation is significant step forward in protecting investors, organization says

Magnifying glass

FSRA seeks CRM2-like disclosures for seg funds

Proposal would require seg fund disclosure of embedded costs

Stormy waters

OSFI confronts rising liquidity risks

Regulator consults on revisions to boost intra-day liquidity insight

Magnifying glass on documents

ESMA reviews find disclosure, greenwashing issues

European regulators call for enforcement action on compliance failures

CFTC sanctions trading oversight gaps

Technical glitch prevented comprehensive trade surveillance by JP Morgan

HSBC fined for fairness failures

Bank's treatment of customers in financial difficulty sparks sanction from U.K. regulator

Euro map

Basic products, advice needed to boost investing: ESMA

European regulators make recommendations for revitalizing capital markets

FINRA not to blame for firms’ return-to-office plans

SRO says post-pandemic rules facilitate flexible working models