FSRA flags few issues at credentialing bodies
Regulator reports results of first supervisory reviews at planner/advisor titling organizations
Regulator reports results of first supervisory reviews at planner/advisor titling organizations
Question of whether client used stop loss orders requires hearing, court rules
Regulator aims to bolster investor protection, modernize rules
Tom Hayes said his case is “not consistent” with laws in France, Germany and the U.S.
Government endorses OSC's investor protection, capital formation efforts
Consultation proposes registration, supervisory standards for independent reviewers
Reels, streams and more must comply with rules against misleading ads, regulator says
KuCoin platform accused of registration, money laundering violations
Regulators craft detailed standards to implement new crypto regime
Over $3.4 million of investors' money was diverted to undisclosed uses, regulators found
Agency says no evidence that information was lost in attack
After pilot program, ASC, FCAA maintain exemption based on financial knowledge
ESMA consultation finds mixed feelings on shorter settlement cycle
OSC, AMF call for freshening up fund governance
Experts say companies are likely to prepare to comply anyway
Appeals by advisor, analyst in insider trading case dismissed
Regulator details results of review, calls for action from firms
Lawsuits seeks damages for certain BMO advisors
Ban, fine of $300K follow repeat episode of unapproved outside business activity
Panel orders penalties for disgorgment and deterrence
Firms allegedly made misleading statements about their use of AI in investing strategies
Crypto lending program amounted to unregistered securities offering, regulator charged
SRO brings first case following compliance review targeting firms' use of online influencers
Regulators are striving to reassure investors after Chinese markets slumped in the past year