Latest news in From the Regulators

SEC seeks to curb CAT costs article image SEC

SEC seeks to curb CAT costs

Investor advocates oppose SEC on auto-voting article image Modern Keyboard Button with Vote Icon - Online Voting and Election Concept

Investor advocates oppose SEC on auto-voting

Treat clients fairly during postal strike: FSRA article image compensation communication

Treat clients fairly during postal strike: FSRA

Banned advisor gets jail for fraud in U.S. article image businessman behind bars

Banned advisor gets jail for fraud in U.S.

Court orders costs in failed trailer fee class action article image calendar court

Court orders costs in failed trailer fee class action

That psych degree may not be a waste after all article image Businessperson holding lightbulb with learning concept around it

That psych degree may not be a waste after all

Couple settles insider trading case article image penalty card

Couple settles insider trading case

Regs propose harmonized expertise exemption article image Ideas for cash

Regs propose harmonized expertise exemption

Corporate loan allegedly used to dissuade SEC article image Stealing money

Corporate loan allegedly used to dissuade SEC

Canadian AI founder faces U.S. fraud charge article image Fraud allure

Canadian AI founder faces U.S. fraud charge

FINTRAC sanctions KuCoin crypto platform article image Digital assets

FINTRAC sanctions KuCoin crypto platform

Russian charged in Canadian, U.S. account hacks article image Computer keys

Russian charged in Canadian, U.S. account hacks

U.S. exec sanctioned for insider trading article image Market manipulation

U.S. exec sanctioned for insider trading

Rep throws gutter ball on disclosure article image Businessman inspecting paperwork document digitally

Rep throws gutter ball on disclosure

Appeal court upholds OSC receivership article image Court decision, Justice

Appeal court upholds OSC receivership

Botched beneficiary switch results in legal mess article image Gavel and texts

Botched beneficiary switch results in legal mess

Exec settles ASC’s fraud, disclosure allegations article image penalty card

Exec settles ASC’s fraud, disclosure allegations

SEC alleges “free rider” duped brokers article image Stealing money

SEC alleges “free rider” duped brokers

Canada waited too long to diversify trade from U.S., BoC governor says article image Governor Tiff Macklem and senior deputy governor Carolyn Rogers

Canada waited too long to diversify trade from U.S., BoC governor says

ASIC flags private credit fund risks article image Illustration of a businessperson using a magnifying glass to examine files

ASIC flags private credit fund risks

Trump’s Fed appointee seeks steeper rate cuts article image U.S. economy

Trump’s Fed appointee seeks steeper rate cuts

CIRO breach has advisors on high alert article image Computer keys

CIRO breach has advisors on high alert