Regulation

CIRO sanctions dealer’s supervisory lapses

CIRO sanctions dealer’s supervisory lapses

Calgary's Leede Jones Gable fined $150,000 for oversight failings

By James Langton |December 21, 2023

2 min read

CIRO drops harmonized sanctions guidance

CIRO drops harmonized sanctions guidance

SRO consolidates IIROC, MFDA approaches to enforcement penalties, policies

By James Langton |December 21, 2023

2 min read

Court certifies another trailer-fee class action

Court certifies another trailer-fee class action

Case against 1832 Asset Management L.P. is the latest to secure certification

By James Langton |December 21, 2023

1 min read

Decorative pattern

OSFI, FCAC to explore industry plans for AI, quantum computing

Study of firms' plans for advanced tech will inform regulation and oversight

By James Langton |December 20, 2023

1 min read

Post-mortem report on Credit Suisse lays out events leading to collapse

Post-mortem report on Credit Suisse lays out events leading to collapse

Regulators make case for greater supervisory and enforcement powers

By James Langton |December 19, 2023

3 min read

European regulator finds there’s no financial price for green scandals

European regulator finds there’s no financial price for green scandals

Report says clear policy guidance is needed if investors aren't paying attention to greenwashing

By James Langton |December 19, 2023

2 min read

ATB Capital to lead liquidation of failed hedge fund

ATB Capital to lead liquidation of failed hedge fund

Court will consider firm's appointment by Traynor Ridge Capital's receiver

By James Langton |December 18, 2023

2 min read

Companies face emissions reporting mandates even as Canada lags

Companies face emissions reporting mandates even as Canada lags

Regulators around the world are forcing firms to disclose carbon emissions and other climate data

By Ian Bickis, The Canadian Press |December 18, 2023

5 min read

FINTRAC offers more detail on enforcement activity

FINTRAC offers more detail on enforcement activity

The agency has begun baring more in disciplinary notice

By James Langton |December 15, 2023

2 min read

CSA moves on T+1; Europe urged to follow suit

CSA moves on T+1; Europe urged to follow suit

U.S. fund industry calls for global move to shorter settlement cycle

By James Langton |December 15, 2023

2 min read

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