From the Regulators

News

Asset manager exec banned by FCA

July 28, 2025 James Langton
penalty card

Court to consider RESP dealer settlement

July 25, 2025 James Langton
Piggy bank on books
News

SEC signals reform for PCAOB

July 24, 2025 James Langton
Market uncertainty
News

OSC review flags personal corporation concerns

July 24, 2025 James Langton
Illustration of a businessperson using a magnifying glass to examine files
Product

CSA opens fund access to liquidity tool

July 24, 2025 James Langton

ECB leaves interest rates unchanged as it assesses impact of Trump tariffs

July 24, 2025 David McHugh, The Associated Press
Frankfurt, Germany - November 09, 2020: European Central Bank ECB, EZB headquarters at Eastend Frankfurt, Germany. The European Central Bank (ECB) is the central bank of the Eurozone. Close-up of the logo in front of the building.

CIRO passes latest CSA review

July 23, 2025 James Langton
Man reads legal document carefully using magnifying glass

Fraudster gets jail time: OSC

July 23, 2025 James Langton
Robber captured

U.K. Supreme Court quashes convictions of 2 bank traders after deciding their trials were unfair

July 23, 2025 Danica Kirka, The Associated Press
Court decision, Justice
Research and Markets

Bank deregulation trend rolls on: Fitch

July 22, 2025 James Langton
Regulation

Instead of retiring, rep ran a Ponzi scheme: SEC

July 22, 2025 James Langton
ponzi scheme

Ex-bank regulator sanctioned for insider trading

July 22, 2025 James Langton
penalty card