Latest news in From the Regulators

ESMA issues guidance on listing reforms article image Illustration of a businessperson using a magnifying glass to examine files

ESMA issues guidance on listing reforms

Companies paying more attention to AI article image AI computer

Companies paying more attention to AI

BMO faces MX front running allegation article image Bank Of Montreal Branch stock photo

BMO faces MX front running allegation

Challenge to BCSC investigation revived on appeal article image Canadian laws

Challenge to BCSC investigation revived on appeal

Swiss bank in US$500-million deal with DoJ article image Entrance of historic bank building of Swiss bank Credit Suisse. Photo taken April 19th, 2021, Zurich, Switzerland.

Swiss bank in US$500-million deal with DoJ

Court orders costs security in OSC appeal article image calendar court

Court orders costs security in OSC appeal

Japan’s brokerage hacks highlight risks: Moody’s article image cybersecurity

Japan’s brokerage hacks highlight risks: Moody’s

U.S. trade groups seek fewer crypto constraints article image United States flag with Bitcoin cryptocurrency

U.S. trade groups seek fewer crypto constraints

ESMA consults on ESG rating rules article image ESG investing

ESMA consults on ESG rating rules

FCA consults on crypto activities article image Crypto coins

FCA consults on crypto activities

U.S. fund manager pleads guilty article image 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

ESMA aims for consistent crypto trading oversight article image Crypto coins

ESMA aims for consistent crypto trading oversight

FCA to launch AI testing service article image consultation discussion

FCA to launch AI testing service

CIRO panel rejects allegations against ex-rep article image compliance

CIRO panel rejects allegations against ex-rep

OSC seeks $37.5 million in Bridging sanctions article image Businessman shamed

OSC seeks $37.5 million in Bridging sanctions

CIRO sanctions opaque offshore dealings article image Judgment fine

CIRO sanctions opaque offshore dealings

Ontario financial advisor charged in $1.8M fraud investigation article image compliance

Ontario financial advisor charged in $1.8M fraud investigation

Ex-advisory firm CEO lands in prison article image businessman behind bars

Ex-advisory firm CEO lands in prison

Court upholds insider tipping ruling article image 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

FCA to slash investment firms’ capital rules article image Rules and regulations

FCA to slash investment firms’ capital rules

Some retail funds riskier than hedge funds: ESMA article image Chart showing ups and downs of stock market

Some retail funds riskier than hedge funds: ESMA