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Tread carefully

Crypto hedge funds hampered by timid bankers: Report

AIMA survey finds crypto funds struggle to get basic banking services

Bank Of Montreal Branch stock photo

BMO agrees to pay US$40 million to settle SEC charges on supervision failure

BMO Capital Markets division is alleged to have sold mortgage-backed bonds using misleading metrics

Class action

Liquidnet sanctioned by SEC

ATS operator settles allegations of compliance shortcomings

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

Rep must repay recruitment bonus, appeal court says

Revised agreement between a rep and his former firm was valid: decision

change direction

CFTC sees turnover ahead of new Trump administration

Regulator's head of enforcement, chair to depart next week

Judge looks at papers

Courts making little use of restitution orders

Effort to elevate financial compensation in criminal cases falls flat

rules and regulations

CIRO floats short-selling reforms

SRO proposes mandatory close-out requirements that aim to prevent failed trades, align with U.S. regime

stock market data

Broker fined for unauthorized access violations

Marex Capital Markets sanctioned in settlement with MX

Conflicted graph

Quant trader accused of stealing code

U.S. authorities allege trade secrets stolen to help start rival firm

Gavel and texts

Edward Jones to pay US$17 million in NASAA settlement

Fund investors paid front-end loads, moved into fee-based accounts sooner than expected, regulators alleged

consultation discussion

Closing the gap between mutual, seg fund regulation

CCIR, CISRO propose new guidance on the design, distribution of seg funds

Regulation

BCSC sanctions trading scheme’s promoter

Regulator settles for less disgorgement than usual, given inability to pay

Financial stock exchange market display screen board on the street

IIAC calls for issuer bid reforms

Group seeks harmonized requirements to facilitate buybacks

jail bars

It took 10 years, but insider trader gets prison

Judge hands down sentence in insider trading case brought in 2015

Judge's gavel with magnifying glass on black.

Real estate dominates BCFSA’s first consumer complaints report

Real estate complaints accounted for more than 70% of the total number

Crypto currency

Crypto mogul Do Kwon pleads not guilty in first US court appearance

Investors lost US$40 billion in the crash of Terraform Labs’ cryptocurrency

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

Montenegro approves extradition of Terraform crypto mogul to the U.S.

Kwon was charged in the U.S. with fraud over a US$40-billion crash of Terraform Labs’ cryptocurrency, which devastated retail investors around the world

Quebec Parliament building

AMF annual fee increases announced for 2025

Fee increases are between 1.6% and 2.85%, effective Jan. 1

Lightbulb drawn around tree image, indicating sustainable ideas

Competition Bureau clarifies expectations around new greenwashing rules

New laws were passed in June requiring companies to substantiate environmental claims

The legislature in Alberta

Proposed Alberta Pension Plan not entitled to 53% of CPP assets: OSFI

Chief actuary says LifeWorks did not "respect the textual indications of the legislation"

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

NBF settles supervisory allegations with MX

Firm failed to fully investigate potentially manipulative trading by an ex-employee

Gavel and Money - Canada stock photo

Breaching BCSC freeze order lands man in jail

Regulator found bank accounts frozen during an investigation had been depleted

fraud

Tribunal sets sanctions in record crypto fraud

Panel orders more than US$50M in disgorgement, plus $5M in penalties and costs

consultation discussion

TSX proposes trading rule reforms

Exchange seeks change to dark trading price improvement rules, feedback on unintentional crosses

Business lawyer team. Working together of lawyer in the meeting.

FINRA orders restitution to fund investors

Firms failed to ensure that investors got fund fee rebates, waivers