From the Regulators

Tribunal sanctions pair in novel insider trading case

July 4, 2024 James Langton
A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Basel Committee approves banks’ crypto disclosure, capital regime

July 3, 2024 James Langton
dominos falling
News

Post-crisis reforms working, FSB finds

July 2, 2024 James Langton
News

BCSC, fund manager settle compliance issue case

July 2, 2024 James Langton
A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t
News

Crypto bank sanctioned for alleged oversight failures

July 2, 2024 James Langton
Bitcoin cryptocurrency with a pile of coins and smartphone, Vector illustrator
News

Nature risk disclosure on the rise

June 28, 2024 James Langton
Sustainable investing
News

Advisor usage declines, CSA survey finds

June 28, 2024 James Langton
Businessman talking with financial advisor in bank

Investors recoup a bit from B.C. securities fraud

June 27, 2024 James Langton

Firms’ AI adoption poses compliance challenges: FINRA

June 27, 2024 James Langton
Solar system

U.S. Supreme Court curbs SEC authority

June 27, 2024 James Langton
Judge looks at papers

Advisor incorporation among CIRO’s priorities for 2025

June 26, 2024 James Langton
priority

Who watches the watchers? Best practices for independent review committees

June 26, 2024 Melissa Shin