Home News From the Regulators Page 10

Latest news in From the Regulators

SEC allows Exxon to offer auto proxy voting article image SEC

SEC allows Exxon to offer auto proxy voting

Aussie banking giant faces A$240 million penalties article image Australian finances

Aussie banking giant faces A$240 million penalties

OSC alleges greenwashing by Purpose Investments article image Painting pollution green with a highlighter

OSC alleges greenwashing by Purpose Investments

Exec, advisor accused of pump-and-dump article image Sign on the building of Financial Industry Regulatory Authority, or Finra, in Manhattan NYC lower financial district downtown, businessman man walking stock photo

Exec, advisor accused of pump-and-dump

Quant developer allegedly duped firm article image SEC

Quant developer allegedly duped firm

OSFI takes tougher stance on fines, AI risk article image Businessman Stop Domino Effect. Risk Management and Insurance Concept

OSFI takes tougher stance on fines, AI risk

Child support ordered against grocery store ‘volunteer’ article image calendar court

Child support ordered against grocery store ‘volunteer’

ECB holds rates steady as economy withstands Trump tariffs article image 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.

ECB holds rates steady as economy withstands Trump tariffs

Ex-broker charged in alleged U.S. Ponzi scheme article image ponzi scheme

Ex-broker charged in alleged U.S. Ponzi scheme

Finfluencers face charges in U.K. court article image Finfluencers

Finfluencers face charges in U.K. court

U.S. Supreme Court to quickly consider if Trump has power to impose sweeping tariffs article image Court decision, Justice

U.S. Supreme Court to quickly consider if Trump has power to impose sweeping tariffs

NASAA beefs up guidance on REITs article image Real estate

NASAA beefs up guidance on REITs

Firms, reps affected by CIRO breach article image Computer keys

Firms, reps affected by CIRO breach

Risk high amid trade turmoil, crypto hype: ESMA article image Businessman concetrating while working on laptop

Risk high amid trade turmoil, crypto hype: ESMA

Brokers’ assets rise faster than regulatory costs: SEC article image Piles of coins

Brokers’ assets rise faster than regulatory costs: SEC

LSE to open roof to high-speed rivals article image Sun Life advances digital strategy with executive appointment

LSE to open roof to high-speed rivals

Appeal court upholds proposed class action article image Judge makes ruling

Appeal court upholds proposed class action

U.K. considers government bond market reforms article image Facade of bank of england

U.K. considers government bond market reforms

CDS proposes fee reforms article image trader at desk

CDS proposes fee reforms

CSA extends OBSI consultation deadline article image consultation discussion

CSA extends OBSI consultation deadline

ATM venture a Ponzi scheme: SEC alleges article image SEC

ATM venture a Ponzi scheme: SEC alleges

OSC’s new disgorgement rules take effect article image Stealing money

OSC’s new disgorgement rules take effect

  • By: IE Staff
  • September 3, 2025 September 3, 2025
  • 12:59
Rep’s trading was lucrative, but offside article image Illustration of a businessperson using a magnifying glass to examine files

Rep’s trading was lucrative, but offside

ASC panel sanctions Ponzi schemer article image ponzi scheme

ASC panel sanctions Ponzi schemer

TSX aims to streamline dividend reporting article image Regulation

TSX aims to streamline dividend reporting