From the Regulators

FCA expands research unbundling to fund managers

November 5, 2024 James Langton
research

Canadian pleads guilty in global pump-and-dump

November 4, 2024 James Langton
Judge looks at papers

Tribunal rejects tougher sanctions in crypto case

November 4, 2024 James Langton
Business lawyer team. Working together of lawyer in the meeting.

NASAA adds best interest standard to model rule

November 4, 2024 James Langton
Client listening to a lawyer or advisor explaining issues

It’s official: OBSI becomes sole external complaints body for banking

November 1, 2024 Noushin Ziafati
Magnifying glass on documents
News

Court to hear Binance challenge to OSC investigation

October 31, 2024 James Langton
Business lawyer team. Working together of lawyer in the meeting.
News

CIRO proposes overhaul of arbitration program

October 31, 2024 James Langton
a bright idea
News

U.S. senator calls out lack of charges for TD execs in money laundering case

October 31, 2024 The Canadian Press
TD bank. stock photo
News

Pyramid schemer banned in OSC settlement

October 31, 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

Ontario promises MGA licensing

October 30, 2024 James Langton
Oversight direction
News

Retail investors vulnerable to greenwashing: OSC

October 30, 2024 James Langton
Greenwashing ESG
News

BCSC sanctions unregistered trading

October 30, 2024 James Langton
penalty card