From the Regulators

Remote working spawns insider-trading case

February 23, 2024 James Langton

Consultant sanctioned in private placement scheme

February 22, 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

CSA issues guidance on virtual shareholder meetings

February 22, 2024 James Langton
woman working from home with her dog
News

OSC shines a light on “dark” arts of online investing

February 21, 2024 James Langton
News

CIRO arms firms to face ransomware attacks

February 20, 2024 James Langton
News

Disclosure failures violated best-interest rules: SEC

February 16, 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

45 cents short, $96 in fees: Court approves TD insufficient fund fees settlement

February 16, 2024 Ian Bickis, The Canadian Press

SEC settles with Van Eck over influencer involvement

February 16, 2024 James Langton
Judge's gavel with magnifying glass on black.

Ex-Goldman analyst convicted for U.K. insider trading

February 15, 2024 James Langton

CIRO seeks new securities lending rules

February 15, 2024 James Langton
rules and regulations

Former rep on the hook for recruitment loan

February 15, 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

BCSC funds FAIR Canada research on DIY investors

February 15, 2024 James Langton