Home News From the Regulators Page 2

Latest news in From the Regulators

ESMA, ASIC face change at the top article image New leader

ESMA, ASIC face change at the top

U.K. regulators aim to help firms scale up article image Oversight direction

U.K. regulators aim to help firms scale up

Gamification that’s good for investors article image gamification

Gamification that’s good for investors

AI models can forecast, but their choices are flexible article image Artificial intelligence

AI models can forecast, but their choices are flexible

Fortress pair get five years, fined $24.4 million article image businessman behind bars

Fortress pair get five years, fined $24.4 million

Boiler room brokers plead guilty article image Robber captured

Boiler room brokers plead guilty

FCAC fines BMO $4M for overcharging fees article image Bank Of Montreal Branch stock photo

FCAC fines BMO $4M for overcharging fees

The danger of personal dealings with clients article image Judgment fine

The danger of personal dealings with clients

U.S. advisor gets jail for defrauding clients article image businessman behind bars

U.S. advisor gets jail for defrauding clients

FCA consults on new climate disclosure rules article image ESG investing

FCA consults on new climate disclosure rules

Court warns Binance not to push arbitration article image Canadian laws

Court warns Binance not to push arbitration

Insurers’ expectations of sales channels are unclear: CCIR article image Filling out form

Insurers’ expectations of sales channels are unclear: CCIR

First Brands’ execs charged with fraud article image Metal handcuffs placed over the word fraud

First Brands’ execs charged with fraud

OSFI consults on regime for industry accountability article image Rules and regulations

OSFI consults on regime for industry accountability

TSX adopts streamlined dividend reporting article image Toronto Stock Exchange

TSX adopts streamlined dividend reporting

CIRO’s fund rep fee hike approved article image Picking a dollar

CIRO’s fund rep fee hike approved

  • January 29, 2026 January 29, 2026
  • 14:27
Court sides with psychedelic biotech, over hedge fund article image Judge makes ruling

Court sides with psychedelic biotech, over hedge fund

Crypto fraudster faces jail, restitution article image Digital assets

Crypto fraudster faces jail, restitution

SEC settles accounting fraud allegations article image Court settlement

SEC settles accounting fraud allegations

U.S. securities class-action filings down, damages up article image signing document

U.S. securities class-action filings down, damages up

New Brunswick bolsters investor protection article image dominos falling

New Brunswick bolsters investor protection

SEC alleges SPAC deal based on fraud article image SEC

SEC alleges SPAC deal based on fraud

Former rep convicted on fraud charges article image Court decision, Justice

Former rep convicted on fraud charges

U.K. regulator undertakes AI inquiry article image Artificial intelligence

U.K. regulator undertakes AI inquiry

As U.K. gears up for T+1, industry budgets lag article image UK flag

As U.K. gears up for T+1, industry budgets lag