From the Regulators

News

BCSC settles illegal distribution allegations

November 7, 2025 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

IOSCO flags risks with financial sector plumbing

November 7, 2025 James Langton
dominos falling
News

ESMA finds fund distribution is costly

November 6, 2025 James Langton
Picking a dollar
News

B.C. court orders executor’s removal in estate dispute

November 6, 2025 James Langton
Client listening to a lawyer or advisor explaining issues

CIRO undertakes phase two of guidance reno

November 6, 2025 James Langton
Board room discussion
News

Former exec allegedly duped firm of US$150 million

November 5, 2025 James Langton
Stealing money
Products

Funds compliant on AI claims: OSC

November 5, 2025 James Langton
digital investing
News

Closet indexing class action to focus on disclosure

November 5, 2025 James Langton
Court decision, Justice
News

Class action certified in Mackenzie data breach

November 5, 2025 James Langton
Computer keys

Tribunal declines to lift enforcement sanctions

November 5, 2025 James Langton
Judgment fine

IOSCO seeks greater transparency in CDS market

November 4, 2025 James Langton
Businessman inspecting paperwork document digitally

Advisor incorporation ‘a hot potato’

November 3, 2025 Noushin Ziafati
Oversight direction