Regulation

Regulators learn from latest banking sector turmoil

Report highlights risk management failures, supervisory shortcomings

By James Langton |October 6, 2023

3 min read

Regulation

CIRO to step up fund dealer oversight in Quebec

AMF, provincial government approve delegation of powers to SRO

By James Langton |October 6, 2023

2 min read

Regulation

Court rejects Binance’s challenge of OSC investigation

Undertaking doesn't preclude regulator's enforcement action, court finds

By James Langton |September 29, 2023

3 min read

Regulation

Sustainable finance disclosure still falling short

Firms not disclosing investments' negative ESG impact, Paris alignment

By James Langton |September 29, 2023

2 min read

Regulation

SEC, CFTC hit delete on firms’ WhatsApp, texting

Another 10 firms sanctioned for extensive recordkeeping violations

By James Langton |September 29, 2023

2 min read

Regulation

Global trade group proposes crypto regulation principles

World Federation of Exchanges calls for crypto trading to face similar standards as traditional markets

By James Langton |September 28, 2023

2 min read

Industry

U.S. fund industry slams new SEC fund-name rules

Regulator aims for truth in advertising, seeks to combat greenwashing

By James Langton |September 20, 2023

3 min read

Regulation

Ex-broker pleads guilty in crypto fraud case

Clients' assets misappropriated rather than invested, U.S. authorities charged

By James Langton |September 20, 2023

2 min read

Regulation

Proposed class action alleges B.C. failed children

Government should have opened RESPs, RDSPs for kids in its care, suit claims

By James Langton |September 14, 2023

2 min read

Regulation

SEC alleges Virtu failed to guard client data

Firm rejects regulator's allegations, cites political motive for action

By James Langton |September 13, 2023

3 min read

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