Industry News

Industry

IIROC takes aim at naked shorts

SRO provides guidance on short covering expectations

By Staff |August 18, 2022

1 min read

Industry

OSFI sets capital rules for crypto

Regulator details its interim approach to capital, liquidity treatment for cryptoassets

By James Langton |August 18, 2022

2 min read

Industry

At takeover meeting, TD urged to better benefit underserved groups in U.S.

At issue is the bank's poor track record of serving Black, Latino clients

By Ian Bickis, Canadian Press |August 18, 2022

3 min read

Industry

Suspensions down, permanent bans up for financial planners in 2021

Enforcement activity was included in FP Canada's annual report

By Staff |August 18, 2022

2 min read

Industry

ESG integration category criticized in responses to SEC proposals

Morningstar and As You Sow said the category could make ESG fund comparisons more difficult for investors

By Mark Burgess |August 17, 2022

2 min read

Industry

SEC alleges PR firm employee tipped partner to trade on Equifax breach

The scheme even included a reference to "Blue Horseshoe," the code for inside information in the 1987 movie Wall Street

By James Langton |August 16, 2022

2 min read

Industry

Negative market returns weigh on Q2 pension funding: FSRA

The median solvency ratio decreased slightly after eight straight quarterly improvements

By Staff |August 16, 2022

1 min read

Industry

Canadians charged in U.S. account hacking scheme

Accused allegedly used breached accounts to pump microcap stocks

By James Langton |August 16, 2022

1 min read

Industry

U.S. regulator adopts e-filing for enforcement

A temporary pandemic innovation is being made permanent

By James Langton |August 15, 2022

1 min read

Industry

Hedge fund manager convicted in vote-rigging scheme

Co-conspirators secretly took control of company's bonds to rig a vote that gave them millions

By James Langton |August 12, 2022

2 min read

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