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Risk management over innovation – CD Howe on Canada’s regulatory landscape
Canadian regulators urged to embed efficiency, growth, and competition alongside investor protection.
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China’s securities regulator increases rewards for reporting violations
The cash reward for whistleblowers will depend on how serious the violation is. At the same time, self-reporting is being encouraged by imposing lighter penalties.
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SEC seeks comment on rules over residential mortgage-backed securities
The SEC asked Wall Street for feedback on the current regulatory regime around residential mortgage-backed securities, hoping to revive the market.
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SEC says liquid staking receipt tokens are not securities
The agency clarified that the tokens do not qualify as investment contracts under the Howey test.
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SEC issues FAQs to help navigate path to central clearing in US Treasury market
The SEC has prepared responses to questions about the financial responsibility requirements as applied to cleared US Treasury securities.
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Indian securities regulator temporarily bans Jane Street, impounds $563m
SEBI claimed that Jane Street engaged in market manipulation, portending the end of a lucrative era in the Indian options market.
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Negotiating the era of digital accountability
Why communication archiving, insider trading regulations and audit tech are effective guardrails for global financial markets amid times of volatility.
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The GRIP Files: A Valerie Mirko, Armstrong Teasdale
Valerie talks about her experience in securities enforcement matters, SEC’s ‘back to basics’ approach, her work in-house and what she learned working at NASAA.