From the Regulators

News

SEC reports record financial remedies

November 22, 2024 James Langton
Judge's gavel with magnifying glass on black.
News

Ex-fund rep banned for ‘obvious’ conflict of interest

November 22, 2024 James Langton
Judge looks at papers
News

Ex-CDPQ employees caught in U.S. corruption case

November 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
Industry News

Protecting client interests in the AI age

November 22, 2024 Jonathan Got
AI computer

Sweeps buoyed SEC enforcement: report

November 22, 2024 James Langton
Businessman Blowing Whistle Isolated on White Background

With Trump’s return, Gensler to leave SEC

November 21, 2024 James Langton
Wells Fargo claws back US$75 million from top execs in sales scandal

IOSCO tackles abusive hedging

November 21, 2024 James Langton
Businessman concetrating while working on laptop

CSA set to hike SEDAR, NRD fees

November 21, 2024 James Langton

Tribunal rules crypto company’s takeover defence offside

November 21, 2024 James Langton

Basel III capital reforms get push from global regulators

November 20, 2024 James Langton
Rule change
News

Banks’ compensation models need work: FSB

November 20, 2024 James Langton
Compensation pay
News

CIRO poised to take over dealer registration

November 20, 2024 James Langton
Dividing groups