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Latest news in Regulation

Courts receive papers

Court rejects Binance’s challenge of OSC investigation

Undertaking doesn't preclude regulator's enforcement action, court finds

Interconnected ESG

Sustainable finance disclosure still falling short

Firms not disclosing investments' negative ESG impact, Paris alignment

Using phone for finances

SEC, CFTC hit delete on firms’ WhatsApp, texting

Another 10 firms sanctioned for extensive recordkeeping violations

Bitcoin, Litecoin and Ethereum

Global trade group proposes crypto regulation principles

World Federation of Exchanges calls for crypto trading to face similar standards as traditional markets

Inspecting documents

U.S. fund industry slams new SEC fund-name rules

Regulator aims for truth in advertising, seeks to combat greenwashing

Fraudster captured

Ex-broker pleads guilty in crypto fraud case

Clients' assets misappropriated rather than invested, U.S. authorities charged

Court gavel

Proposed class action alleges B.C. failed children

Government should have opened RESPs, RDSPs for kids in its care, suit claims

Conceptual image of micro circuit Security concept

SEC alleges Virtu failed to guard client data

Firm rejects regulator's allegations, cites political motive for action

Cat and computer

Dude, where’s my enforcement action?

SEC sanctions Stoner Cats creator over NFT sales


CSA increased bans, fines in latest fiscal year

Regulators' year in review also detailed crypto oversight, CFR sweep

  • By: Staff
  • September 7, 2023 September 7, 2023
  • 13:14
open door

Top Swiss regulator steps down

CEO cites stress, health in decision to resign from post


B.C. couple charged in Ponzi scheme

Long-running venture took in millions from investors, police allege

Disclosure form

SEC sanctions private equity manager over non-disclosure

Firm failed to reveal conflicted fee payments, regulator charged


BCSC sanctions sales-rule violations

Former firm provided reps with improper incentives, regulator alleged


SEC sanctions investor overcharging

Back-office snafu meant clients didn't get discounts on standard fees

People groups

SEC expands FINRA’s jurisdiction

New rule sharply narrows prop traders' SRO exemption


NFT insider trader catches jail term

Former OpenSea product manager sanctioned for scheme

Financial safety net

IOSCO, CPMI report examines central counterparty risks

Policymakers seek to ensure CCP readiness to handle loss events

low key image of trophy over wooden table and dark background, with abstract shiny lights

Advisors chew over regulators’ warning on industry awards

Even award-winning advisors see merit in the crackdown on pay-to-play and sales-based accolades

Court gavel

B.C. court upholds ruling in advisor’s favour

Investor misunderstood difference between advisory and discretionary accounts, court found

Financial or investment time counting with hourglass or sandglass and stack of coins on wooden table with white background.

Regulators heed plea to push back trade-matching deadline

CSA ruling helps T+1 push, industry says

  • By: Staff
  • August 11, 2023 August 11, 2023
  • 14:31
New rule book

New FCA regime good for clients, tough on firms

Margins, profits to be squeezed as consumer protections boosted

Blackboard conflict

Most firms falling short in conflict compliance

Regulators say suitability assessments and disclosure aren't adequate for firms that deal only in proprietary products

Judge makes ruling

Court pauses rival series of trailer-fee lawsuits

Key issue of whether trailer payments were improper to be decided before determining which investors are entitled to damages

Fraudster arrested

Adviser’s insider trading more extensive than SEC thought

Offshore stock trades came alongside previously-sanctioned options trades