investor protection

Industry

ESMA examines impact of sustainable suitability rules

Review to look at results of efforts to add sustainability factors to suitability, product governance requirements

By James Langton |June 16, 2023

1 min read

Industry

IOSCO, FSB consider fund liquidity risk reforms

Regulators seek to address liquidity issues that arose amid the pandemic

By James Langton |June 16, 2023

2 min read

Industry

Sam Bankman Fried could face 2 criminal trials, with prosecution on some charges delayed until 2024

Newer charges need approval from Bahamian authorities before proceeding in U.S.

By Larry Neumeister, The Associated Press |June 16, 2023

3 min read

Industry

European Commission issues proposals to bolster sustainable finance

Regulating ESG rating providers is part of the new measures

By James Langton |June 15, 2023

2 min read

Industry

Rep sanctioned for overlooking red flags

CIRO says rep failed to meet gatekeeper obligations by ignoring suspicious trading

By James Langton |June 14, 2023

2 min read

Industry

Privacy office orders release of FSRA enforcement notice

Disciplinary filing is a statutory requirement, not legally privileged, IPC rules

By James Langton |June 9, 2023

2 min read

Industry

FCA cracks down on crypto hype

Regulator adopts series of measures to curb marketing, bolster investor protection

By James Langton |June 8, 2023

2 min read

Industry

ESMA flags concerns over fund costs

Efficient portfolio management costs continue to worry regulators

By James Langton |June 7, 2023

1 min read

Industry

Court denies Bridging investors’ bid for money back

Chief justice finds motion is premature, directs receiver to address distribution issues

By James Langton |June 7, 2023

2 min read

Industry

SEC says crypto firm Binance mishandled funds, violated securities laws

Investigation said to have uncovered 'extensive web of deception, conflicts of interest, lack of disclosure, and calculated evasion of the law'

By Fatima Hussein, The Associated Press |June 5, 2023

3 min read

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