Industry News

Industry

TD Bank Group discloses U.S. regulatory inquiry into compliance practices

The bank also reported lower profits and rolled out an expanded share buyback program

By Ian Bickis, Canadian Press |August 24, 2023

3 min read

Industry

Advocis addresses liquidity after poor 2022 results

The association extended its line of credit, got a loan and tapped into its $5.5-million reserve fund

By Michelle Schriver |August 24, 2023

2 min read

Products

SEC ramps up hedge fund regulation

New rules aim to improve transparency, investor protection in private fund market

By James Langton |August 23, 2023

3 min read

Regulation

SEC expands FINRA’s jurisdiction

New rule sharply narrows prop traders' SRO exemption

By James Langton |August 23, 2023

2 min read

Economic Indicators

BRICS leaders locked in discussions over expansion of their economic bloc

All five leaders are said to back the principle of letting in new members, but decision still uncertain

By The Associated Press |August 23, 2023

4 min read

Industry

NFT insider trader catches jail term

Former OpenSea product manager sanctioned for scheme

By James Langton |August 23, 2023

2 min read

Industry

U.S. reaches deal on broker’s shady trading

Nomura Securities agrees to trading misconduct penalties in non-prosecution agreement

By James Langton |August 23, 2023

2 min read

Regulation

IOSCO, CPMI report examines central counterparty risks

Policymakers seek to ensure CCP readiness to handle loss events

By James Langton |August 23, 2023

2 min read

Industry

Ontario seeks to expand OSC sanctions spending

Proposal would allow enforcement money to be used for IT projects and new innovation office

By James Langton |August 22, 2023

2 min read

Industry

S&P downgrades handful of U.S. banks

Five regional banks face rating cut, outlooks downgraded for two others

By Staff |August 22, 2023

1 min read

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