Home News From the Regulators Page 9

Latest news in From the Regulators

new rules

CSA seeks venture rule revisions

Changes accommodate new CSE senior listings

BCSC calls on Parliament to fix enforcement gap

New SCC ruling allows fraudsters to escape regulatory penalties via bankruptcy

Judge looks at papers

U.S. securities class action filings rise

Crypto claims decline, AI-related cases on the rise

FINTRAC sanctions Montreal wealth manager

Compliance review found violations of anti-money laundering rules

Federal Reserve building

The Fed sees cooler inflation, slower job market

If inflation continues to go down, a rate cut could be on the table in September: Powell

Judge looks at papers

Supreme Court curbs regulators’ enforcement power

Regulators' penalties don't survive bankruptcy, but disgorgement orders do, court finds

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

SEC charges crypto platform founder

Platform claimed to be decentralized, authorities allege

Green globe in forest

Standards setters align biodiversity disclosures

GRI, TFND issue joint guidance, map to facilitate sustainability reporting

CIRO to drop Gravitas

Firm winding down after running into capital trouble

rules and regulations

Regulators need more rigour: C.D. Howe

Paper argues for more systematic cost/benefit, post-implementation analysis

100-dollar-bill

The Fed is edging closer to cutting rates. But how fast?

Rate cuts typically lower borrowing costs for mortgages, auto loans and credit cards

buying insurance on a cell phone

Ontario proposes new MGA regulation

New regime aims to enhance consumer protection, set industry standards

Regulation

OSC’s compliance work escalates

Risky firms, crypto platforms add to compliance division's workload

Crossed fingers

Activist short seller charged with securities fraud

SEC, DoJ allege Citron Research, and its founder, misled investors

right or wrong choice

Fewer prospectuses key to FCA reform proposals

Proposals seek to ease capital raising, bring back research bundling

FCA undertakes its first enforcement action against a crypto enabler

U.K. regulator fined Coinbase company £3.5 million for compliance violations

CSA aims to ease derivatives reporting burden

Revisions seek to better align with global standards

hands holding planet

ESMA’s long-term vision for sustainable investment

Paper seeks improvements to enable economic transition

Large dealers embrace remote exams: FINRA

Organization launches pilot program to allow remote supervision

Angry client

Fund dealer complaints drop, bank gripes up: OBSI

Fraud claims pass suitability issues among investment cases

Busy globe

Global financial stability risks remain, FSB warns

The group called for action on shadow banking reforms in letter to G20

Red alert

Much work to be done, CSA year in review shows

Ongoing regulatory initiatives include binding authority at OBSI, climate-related disclosures, misleading titles, mutual fund sales practices and more

announcement

OBSI seeks pair of new directors

With reforms pending, the organization will search for new consumer, industry board reps

China flag

China moves to pep up its slowing economy

The country released a 50-page roadmap and cut key interest rates Monday

Outage validates regulators’ outsourcing worries

FSB, Basel Committee have long warned of tech risk in financial sector