Regulation

Crypto firm settles with SEC, state regulators

Interest-earning program violated state, federal securities laws, regulators alleged

By James Langton |February 7, 2024

2 min read

Regulation

Former PI exec fined, banned in Ng fraud

Firm's executive aided Ng's scheme to raise funds with falsified collateral

By James Langton |February 6, 2024

2 min read

Regulation

U.S. investor advocates take aim at RIA arbitration

Firms use forced arbitration to discourage clients from pursuing complaints

By James Langton |February 2, 2024

3 min read

Regulation

BigTechs’ foray into financials draws scrutiny

European regulators worry about oversight weaknesses

By James Langton |February 2, 2024

2 min read

Regulation

Letter: Rules don’t stop bad actors

A reader writes that overzealous regulation can have unintended consequences

February 2, 2024

2 min read

Regulation

Federal banking regulator sets final guidelines around integrity and security

Guidelines from OSFI come after the feds expanded the regulator’s mandate last June to cover those areas

By The Canadian Press |January 31, 2024

2 min read

Regulation

Rep banned after misappropriating money from client

SRO panel found the rep opened banking products, including a line of credit, in the client's name

By James Langton |January 30, 2024

2 min read

Regulation

Crypto tokens were securities, settlement says

Tribunal accepts settlement with crypto project founders, including more than $1.5 million in sanctions

By James Langton |January 30, 2024

3 min read

Regulation

SRO panel takes softer line on sanctions

The panel found a rep's misconduct to be serious, but not fraudulent or deceitful

By James Langton |January 30, 2024

2 min read

Regulation

Banks, insurers falling behind on climate risk

OSFI says financial firms need to pick up the pace on climate impacts

By James Langton |January 29, 2024

2 min read

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