Latest news in From the Regulators

Firm logged into accounts to approve fees: SEC article image
Picking a dollar

Firm logged into accounts to approve fees: SEC

FBI targets crypto wash trading article image crypto currency regulation

FBI targets crypto wash trading

Court chooses between pair of unfinished wills article image will and testament signature

Court chooses between pair of unfinished wills

OSC brings allegations against Bridging fund auditor article image business man using magnifying glass to inspect documents

OSC brings allegations against Bridging fund auditor

Second broker charged in insider trading scheme article image stealing money

Second broker charged in insider trading scheme

Man charged in hack that killed crypto platform article image Computer keys

Man charged in hack that killed crypto platform

KuCoin crypto exchange shut down in U.S. article image Class action

KuCoin crypto exchange shut down in U.S.

SEC wraps case against fund Ponzi schemer article image ponzi scheme

SEC wraps case against fund Ponzi schemer

Ontario insurance sector second-most active for FSRA enforcement article image Wooden blocks with percentage sign and arrow up, financial growth, interest rate increase, inflation concept

Ontario insurance sector second-most active for FSRA enforcement

U.S. advisor settles SEC charges article image Judgment fine

U.S. advisor settles SEC charges

OSC proposal looks at automating compliance, cutting costs article image Artificial intelligence

OSC proposal looks at automating compliance, cutting costs

US$4.6B class action against FNZ and the Caisse to proceed in May article image Court decision, Justice

US$4.6B class action against FNZ and the Caisse to proceed in May

CIRO wraps guidance update project article image rules and regulations

CIRO wraps guidance update project

Binance sanctioned for onboarding failures: ASIC article image Judge's gavel

Binance sanctioned for onboarding failures: ASIC

Short-selling dealers stay secret article image Judge looks at papers

Short-selling dealers stay secret

Financial stability under threat from Iran conflict article image Hands adjusting risk

Financial stability under threat from Iran conflict

FCA sanctions firm’s failure to oversee CFD trading article image Judgment fine

FCA sanctions firm’s failure to oversee CFD trading

CIRO clarifies its prediction markets requirements for dealers article image trader at desk

CIRO clarifies its prediction markets requirements for dealers

Big banks take heat at Senate hearing article image Canadian flags in business district

Big banks take heat at Senate hearing

Ontario’s budget on crypto, MGAs and pensions article image The legislature in Ontario

Ontario’s budget on crypto, MGAs and pensions

FINTRAC sanctions Alberta casino over compliance article image penalty card

FINTRAC sanctions Alberta casino over compliance

Trailer fees in FCA’s crosshairs once again article image calculator and pie charts

Trailer fees in FCA’s crosshairs once again

  • March 25, 2026 March 25, 2026
  • 14:48
RBC’s legal action tossed for excessive delay 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

RBC’s legal action tossed for excessive delay

Firm failed to disclose conflict in asset allocation: SEC article image Picking a dollar

Firm failed to disclose conflict in asset allocation: SEC

IOSCO highlights hedge fund risk article image Globe dollars

IOSCO highlights hedge fund risk