investor protection

Industry

European Commission issues proposals to bolster sustainable finance

Regulating ESG rating providers is part of the new measures

By James Langton |June 15, 2023

2 min read

Industry

Rep sanctioned for overlooking red flags

CIRO says rep failed to meet gatekeeper obligations by ignoring suspicious trading

By James Langton |June 14, 2023

2 min read

Industry

Privacy office orders release of FSRA enforcement notice

Disciplinary filing is a statutory requirement, not legally privileged, IPC rules

By James Langton |June 9, 2023

2 min read

Industry

FCA cracks down on crypto hype

Regulator adopts series of measures to curb marketing, bolster investor protection

By James Langton |June 8, 2023

2 min read

Industry

ESMA flags concerns over fund costs

Efficient portfolio management costs continue to worry regulators

By James Langton |June 7, 2023

1 min read

Industry

Court denies Bridging investors’ bid for money back

Chief justice finds motion is premature, directs receiver to address distribution issues

By James Langton |June 7, 2023

2 min read

Industry

SEC says crypto firm Binance mishandled funds, violated securities laws

Investigation said to have uncovered 'extensive web of deception, conflicts of interest, lack of disclosure, and calculated evasion of the law'

By Fatima Hussein, The Associated Press |June 5, 2023

3 min read

Industry

OSC seeks members for seniors advisory committee

The application deadline is July 4

By Staff |June 2, 2023

1 min read

Industry

OSC’s Investor Advisory Panel to focus on crypto, CRM3 in year ahead

The IAP is also pushing for reforms to the dispute resolution process

By Mark Burgess |May 30, 2023

1 min read

Industry

SEC charges trading chatroom moderator

Market manipulation scheme run on Discord channel, regulator says

By James Langton |May 26, 2023

1 min read

← Previous 1 … 19 20 21 22 23 … 31 Next →