Home News From the Regulators Page 4

Latest news in From the Regulators

FINRA orders restitution to fund investors article image Business lawyer team. Working together of lawyer in the meeting.

FINRA orders restitution to fund investors

Archegos founder gets 18-year sentence in the U.S. article image Judge looks at papers

Archegos founder gets 18-year sentence in the U.S.

U.S. trade reporting violations spark sanctions article image 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

U.S. trade reporting violations spark sanctions

Pair behind US$100 million deli plead guilty article image calendar court

Pair behind US$100 million deli plead guilty

CIRO seeks feedback on proposed CE harmonization article image A creative woman asking a question at the office

CIRO seeks feedback on proposed CE harmonization

Crypto crime up in 2024: report article image cybersecurity

Crypto crime up in 2024: report

FCA sets out to redesign U.K. retail investment disclosure article image Illustration of a businessperson using a magnifying glass to examine files

FCA sets out to redesign U.K. retail investment disclosure

FSB tackles shadow bank leverage article image Board room discussion

FSB tackles shadow bank leverage

To boost research coverage, let issuers pay article image Businessman holding tablet with graphs

To boost research coverage, let issuers pay

Emerging market regs team up on climate rules article image Green planet

Emerging market regs team up on climate rules

Climate disclosure remains a work in progress article image Climate change board

Climate disclosure remains a work in progress

Bank regulators to take a breather in 2025: Fitch article image a man on a precipice

Bank regulators to take a breather in 2025: Fitch

FCA unveils private stock market plans article image consultation discussion

FCA unveils private stock market plans

Bitcoin surge benefits fraud victims in the U.S. article image Bitcoin

Bitcoin surge benefits fraud victims in the U.S.

Europe gears up for new crypto rules article image Pile of cryptocurrency coins

Europe gears up for new crypto rules

OSFI keeps domestic stability buffer on hold at 3.5% article image Close up of businesswoman using calculator while going through financial bills.

OSFI keeps domestic stability buffer on hold at 3.5%

Shadow bank growth outpaces traditional sector: FSB article image big vs little

Shadow bank growth outpaces traditional sector: FSB

FCA launches crypto regime consultation article image Dogecoin

FCA launches crypto regime consultation

BCSC sanctions woman in Chinese student scam article image Fines graphic

BCSC sanctions woman in Chinese student scam

Crypto tax evasion lands U.S. man in jail article image United States flag with Bitcoin cryptocurrency

Crypto tax evasion lands U.S. man in jail

ASC issues permanent ban on man who promoted fake legal services startup article image Judge's gavel with magnifying glass on black.

ASC issues permanent ban on man who promoted fake legal services startup

  • By: IE Staff
  • December 13, 2024 December 13, 2024
  • 15:52
Ottawa to remove 30% investment cap for Canadian pension funds article image Pension saving

Ottawa to remove 30% investment cap for Canadian pension funds

BCSC steps up fight against misleading investors article image Rules and regulations

BCSC steps up fight against misleading investors

Lutnick’s Cantor settles with SEC article image 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

Lutnick’s Cantor settles with SEC

CIRO asks for industry comments on OEO dealers serving DIY clients article image Phone text

CIRO asks for industry comments on OEO dealers serving DIY clients