Latest news in From the Regulators

FCA issues guidance on workplace misconduct article image
Board table

FCA issues guidance on workplace misconduct

FCA fines lender £44m for anti-crime control failings article image Big Ben

FCA fines lender £44m for anti-crime control failings

Post-crisis reforms boosting financial resilience article image Businessman Stop Domino Effect. Risk Management and Insurance Concept

Post-crisis reforms boosting financial resilience

FCA tackles U.K.’s large advice gap article image Advisor meeting clients at their home

FCA tackles U.K.’s large advice gap

CSA, CIRO post finfluencer guidance article image social media

CSA, CIRO post finfluencer guidance

Crypto mogul Do Kwon sentenced to 15 years in prison for US$40B stablecoin fraud article image 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

Crypto mogul Do Kwon sentenced to 15 years in prison for US$40B stablecoin fraud

FINTRAC seeks sanctions on money transfer firm article image penalty card

FINTRAC seeks sanctions on money transfer firm

CSA, CIRO launch scam website takedown article image Metal handcuffs placed over the word fraud

CSA, CIRO launch scam website takedown

U.S. charges Canadian in alleged crypto Ponzi scheme article image Finfluencers

U.S. charges Canadian in alleged crypto Ponzi scheme

Crypto platform facilitated criminal activity: DoJ article image Businessman shamed

Crypto platform facilitated criminal activity: DoJ

Basel Committee beefs up outsourcing principles article image Computer screen

Basel Committee beefs up outsourcing principles

Industry falling short on CFR compliance: CSA, CIRO article image Client listening to a lawyer or advisor explaining issues

Industry falling short on CFR compliance: CSA, CIRO

Speeding dispute resolution for older, ill investors article image Close up hands of caregiver doctor helping old woman at private clinic. Close up of hands of nurse holding a senior patient with walking stick. Elder woman using walking cane at nursing home with nurse holding hand for support.

Speeding dispute resolution for older, ill investors

FCA consults on fund liquidity reforms article image consultation discussion

FCA consults on fund liquidity reforms

FCA reforms aim to amp up retail risk-taking article image online investing

FCA reforms aim to amp up retail risk-taking

SEC supports lifting constraints on equity research article image SEC

SEC supports lifting constraints on equity research

CSA seeks committee members for initiative on real-time market data access article image Trader at computer screen

CSA seeks committee members for initiative on real-time market data access

  • By: IE Staff
  • December 8, 2025 December 8, 2025
  • 09:13
Europe pushes single financial market reforms article image global markets

Europe pushes single financial market reforms

U.K. to explore growing private market risks article image Magnifying glass

U.K. to explore growing private market risks

Virtu sanctioned by SEC article image Court settlement

Virtu sanctioned by SEC

CRA warns against circular CI insurance scheme article image Tax planning

CRA warns against circular CI insurance scheme

CIRO to issue final dealer rules in February article image rules and regulations

CIRO to issue final dealer rules in February

Court rejects attempt to revive lawsuit against rep, RBC DS article image 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

Court rejects attempt to revive lawsuit against rep, RBC DS

Broker failed to supervise front-end fund sales: FINRA article image Court settlement

Broker failed to supervise front-end fund sales: FINRA

ESMA targets retail conflicts of interest article image Businessman examines statistics on a page

ESMA targets retail conflicts of interest