Latest news in From the Regulators

Review finds crypto firms sloppy with KYC too article image Crypto money

Review finds crypto firms sloppy with KYC too

U.S. brokerage failed to guard against reps’ theft article image Judge looks at papers

U.S. brokerage failed to guard against reps’ theft

Ex-fund rep used online brokers with clients article image penalty card

Ex-fund rep used online brokers with clients

Fraud victim gets some restitution article image cryptocurrencies

Fraud victim gets some restitution

B.C. court upholds limitations on asset freezes article image Judge makes ruling

B.C. court upholds limitations on asset freezes

ASC sanctions accountant’s fraud 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

ASC sanctions accountant’s fraud

CIRO sanctions another ex-trader in disclosure case article image Judge looks at papers

CIRO sanctions another ex-trader in disclosure case

FSB details resolution planning progress article image hospital

FSB details resolution planning progress

Regulators rule out discretionary AI trading, for now article image AI computer

Regulators rule out discretionary AI trading, for now

Bridging investors’ recovery ruling delayed to 2025 article image Hand stopping dominos

Bridging investors’ recovery ruling delayed to 2025

Tribunal sanctions Nova Tech crypto scheme article image Judge's gavel with magnifying glass on black.

Tribunal sanctions Nova Tech crypto scheme

CFTC boasts of record year for enforcement article image Man reads legal document carefully using magnifying glass

CFTC boasts of record year for enforcement

First stablecoin to meet CSA’s standards article image Crypto currency

First stablecoin to meet CSA’s standards

Ex-SEC commissioner tapped to lead agency article image announcement

Ex-SEC commissioner tapped to lead agency

Powell: Fed’s independence from politics is vital article image Federal Reserve

Powell: Fed’s independence from politics is vital

Securities industry’s systemic risk worries ease article image Fraud

Securities industry’s systemic risk worries ease

Founder of failed global crypto lending platform pleads guilty to fraud charges article image Crypto currency

Founder of failed global crypto lending platform pleads guilty to fraud charges

Senate committee ponders monetary policy reforms article image Bank of Canada

Senate committee ponders monetary policy reforms

After attack on Hiroshima client, Nomura tightens controls article image Advisors-and-the-law.jpeg alternate text for this image

After attack on Hiroshima client, Nomura tightens controls

ASIC reports on industry complaint handling article image The Australian Coat of Arms in metal hangs on the glass wall of a building that reflects another high-rise across the street.

ASIC reports on industry complaint handling

Robo advisor sanctioned over CFR shortcomings article image Folder with the label Compliance alternate text for this image

Robo advisor sanctioned over CFR shortcomings

The wild west of crypto enforcement article image Pile of cryptocurrency coins

The wild west of crypto enforcement

Ex-fund rep fined, banned over theft article image MFDA hearing panel finds W.H. Stuart, co-founder violated industry rules

Ex-fund rep fined, banned over theft

The evolution of trading poses regulatory challenges

CSA seeks sales practices reforms article image U.S. efforts to undo regulatory reforms likely to be limited: Russell

CSA seeks sales practices reforms