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Court denies appeal in client overcharging case

A former TD Bank compliance officer's unusual legal action has been rejected again

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Misleading news releases about pot sector draw regulator’s ire

Ex-CEO sanctioned for trading after issuing misleading press releases

United States Capitol, Washington DC

Don’t sacrifice investor protection in a bid for growth, Biden warned

Advocates, academics and regulators advise against expanding private market access

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FCA seeks cap on some investor redress fees

The proposal would impact claims management companies, which act as intermediaries

finding your niche

Pandemic at top of global regulators’ agenda

Covid-19 management joins LIBOR, shadow banking and climate change on the FSB's list for 2021

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FCA tackles flurry of investment scams

Regulator sees spike in illicit activity during pandemic-racked 2020


Court orders trial to assess whether investor was misled

Investor's sophistication at issue in unregistered trading scheme

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Biden picks Chopra, Gensler for financial oversight roles

The choice for SEC chair signals a more activist role after a deregulatory stretch during the Trump administration

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Former Wells Fargo exec sanctioned

OCC penalizes ex-general counsel in sales practices scandal

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B.C. court approves class action settlement

Deal includes $2.4 million and cooperation with ongoing litigation

Stacked white books on rules and regulations

IIROC drops rule proposals for identifying non-client accounts

Reforms developed for industry were rejected in a public consultation


AMF sanctions Desjardins over fund sales practices

The regulator found the firm's compensation structure favoured in-house funds

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No dividend hikes, share buybacks for banks and insurers until lockdowns end: OSFI

Executive pay raises also remain on hold for now

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FCA warns on promise of crypto riches

New registration requirements for U.K. crypto firms took effect Jan. 10

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OSFI embarks on climate risk consultation

Regulator ponders action to bolster industry's readiness to face warming world


Deutsche Bank pays US$130M to settle U.S. charges

The DoJ and SEC settle with the bank for violations arising from separate bribery, fraud schemes

compliance puzzle

MX extends pandemic relief to summer

Firms can continue to use alternative compliance approaches

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OSC names new RAC members

Committee provides regulator with feedback on compliance, policy issues

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Hacker gets 12 years for attacking U.S. banks, brokers

Sentence follows guilty plea on series of fraud, conspiracy charges

Firms should report damage from SolarWinds hack: NASAA

Cybersecurity incident is having wide-ranging effects, based on industry alerts


Diverse array of tipsters collect SEC payouts

Five whistleblowers share a combined US$1.1 million for enforcement tips

OSC adds new faces to securities proceedings committee

Three join advisory committee for OSC's adjudicative role

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Thousands of UK financial firms face failure: FCA

Industry survey details pandemic fallout for financial sector

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Retail investor costs in EU regs’ crosshairs for 2021

ESMA will focus on fund costs in the year ahead

rules and regulations

IIROC details pandemic relief efforts

The SRO offered hardship exemptions from certain rules for much of 2020