Latest news in From the Regulators

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

Crypto fraud fight targets web, apps, social media article image Crypto currency

Crypto fraud fight targets web, apps, social media

U.S. groups lobby for weaker bank capital rules article image Modern bank towers in the late afternoon

U.S. groups lobby for weaker bank capital rules

Edward Jones settles client overcharging case article image Dollar bills

Edward Jones settles client overcharging case

FCA sanctions standards setter for poor anti-money laundering oversight article image Regulation

FCA sanctions standards setter for poor anti-money laundering oversight

FINTRAC sanctions currency exchange article image Laundering money

FINTRAC sanctions currency exchange

Court approves sale process in OSC receivership article image calendar court

Court approves sale process in OSC receivership

FCA seeks more credibility for ESG ratings article image Greenwashing ESG

FCA seeks more credibility for ESG ratings

Low-cost bank accounts available at 14 banks article image Piggybank with gold coins being deposited

Low-cost bank accounts available at 14 banks

Court rejects FSRA appeal on agent’s licensing article image Financial Services Regulatory Authority of Ontario logo

Court rejects FSRA appeal on agent’s licensing

Manitoba regulator upholds CIRO enforcement rulings article image Banned

Manitoba regulator upholds CIRO enforcement rulings

Trade, geopolitics loom large in OSC’s agenda article image priority

Trade, geopolitics loom large in OSC’s agenda

Supreme Court upholds investor’s right to sue article image Supreme Court of Canada in Ottawa

Supreme Court upholds investor’s right to sue

CSA proposes fund liquidity reforms article image 40852936 – liquidity word built with letter cubes alternate text for this image

CSA proposes fund liquidity reforms

EMD exemption falls flat, CSA asks why article image right or wrong choice

EMD exemption falls flat, CSA asks why

FINTRAC sanctions Saskatchewan credit union article image penalty card

FINTRAC sanctions Saskatchewan credit union

Hedge fund was a Ponzi scheme, SEC alleges article image signing document

Hedge fund was a Ponzi scheme, SEC alleges

Industry called to fight child sex exploitation article image Robber captured

Industry called to fight child sex exploitation

SEC’s crypto enthusiasm poses risks to investors: WFE article image Digital assets

SEC’s crypto enthusiasm poses risks to investors: WFE

Ontario court pushes back on Binance, again 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

Ontario court pushes back on Binance, again

FCA charges investment banker with insider dealing article image calendar court

FCA charges investment banker with insider dealing

SEC sanctions broker for weak cyber defences article image Computer keys

SEC sanctions broker for weak cyber defences

FCA to save £100 million with trade reporting reform article image UK flag

FCA to save £100 million with trade reporting reform

Fed adopts rule cutting big banks’ capital demands article image Federal Reserve

Fed adopts rule cutting big banks’ capital demands