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United States flag with Bitcoin cryptocurrency

U.S. trade groups seek fewer crypto constraints

Lobbying follows recent action from regulators to drop policies, guidance

ESG investing

ESMA consults on ESG rating rules

Proposals aim to guard rating independence, boost transparency

Crypto coins

FCA consults on crypto activities

Firms would be restricted from providing lending products to retail investors

Rule change

Here’s what you need to know about CIRO’s new proficiency model

Switch to an exam-based model is to take effect Jan. 1, 2026

Pile of money

ICI wants more retail access to private markets

Industry group calls on SEC to ease constraints

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

U.S. fund manager pleads guilty

Authorities alleged that private fund duped investors

Crypto coins

ESMA aims for consistent crypto trading oversight

European regulator issues principles and practices for crypto trading supervision

consultation discussion

FCA to launch AI testing service

U.K. regulator aims to support responsible AI adoption in financial markets

compliance

CIRO panel rejects allegations against ex-rep

Panel believed rep's evidence over allegations from former client

Businessman shamed

OSC seeks $37.5 million in Bridging sanctions

Regulator requests monetary penalties, disgorgement, costs and market bans

Judgment fine

CIRO sanctions opaque offshore dealings

Exec failed to disclose dealings, dealer ignored red flags, SRO alleged

compliance

Ontario financial advisor charged in $1.8M fraud investigation

Advisor faces a dozen charges, the majority related to alleged forged paperwork

businessman behind bars

Ex-advisory firm CEO lands in prison

Investors sold private structured products as part of a Ponzi scheme

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

Court upholds insider tipping ruling

Appeal of tribunal's rulings on merits, Charter issues, sanctions all rejected

Rules and regulations

FCA to slash investment firms’ capital rules

U.K. body aims to drive growth by cutting firms' regulatory burdens

Chart showing ups and downs of stock market

Some retail funds riskier than hedge funds: ESMA

Regulators find certain funds are highly leveraged and complex

cryptocurrencies

BCSC sanctions crypto payments company

Company illegally distributed securities, misled investors, regulator alleged

Image of Europe highlighted on globe

FSB calls for vigilance amid rising risks

Trade turmoil, policy uncertainty intensifying stability risks

Crypto coins

Crypto platform defrauded investors, SEC alleges

U.S. authorities charge founder, claim platform was a Ponzi scheme

global ESG

CSA backs off climate, diversity disclosure reforms

Regulators cite changing U.S. policy environment in halting work on disclosure rules

Whistleblower

Tip that led to compliance exam gets rewarded

SEC pays tipster for info that spawned review, produced enforcement

trader at desk

CFTC consults on 24/7 trading

Consultation examines risks, benefits of round-the-clock trading

calendar court

Court to hear OSC receivership application

Regulator seeks receiver for real estate investment venture

Pile of cryptocurrency coins

CSA sets rules of the road for crypto funds

Regulators codify their approach to crypto funds in rules

Canadian flag

CSA takes action to boost capital markets

Regulators aim to make it easier, cheaper to go public, raise capital