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SEC beefs up personal trading rules

Financial sector funds now out of bounds for regulator's employees

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Remote working spawns insider-trading case

U.S. authorities allege man secretly traded after overhearing wife's M&A deal

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Consultant sanctioned in private placement scheme

Bulk of funds issuers raised went to consultants that quickly dumped shares

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CSA issues guidance on virtual shareholder meetings

Shareholder advocates have argued they haven't been able to participate fully when AGMs are online

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OSC shines a light on “dark” arts of online investing

Investors face risks from sludge, nudges and other hidden tactics

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CIRO arms firms to face ransomware attacks

SRO publishes playbook for dealing with growing cyber threat

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

Disclosure failures violated best-interest rules: SEC

Broker failed to alert investors to cheaper investing channel, regulator alleges

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45 cents short, $96 in fees: Court approves TD insufficient fund fees settlement

The settlement will compensate customers who were double-charged a $48 fee

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SEC settles with Van Eck over influencer involvement

ETF firm failed to disclose influencer's role in touting fund, regulator alleged

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Ex-Goldman analyst convicted for U.K. insider trading

FCA alleged analyst traded on information about pending merger deals

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CIRO seeks new securities lending rules

Proposals aim to codify investor protections, enhance flexibility

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

Former rep on the hook for recruitment loan

Court rules promissory note between rep and firm is enforceable

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BCSC funds FAIR Canada research on DIY investors

The funding comes from enforcement sanctions

Piles of coins

IOSCO consults on margin best practices

Seeks input by Apr. 14 aimed at improving markets' ability to handle elevated margin calls

FCA revs up its anti-hype machine

Regulator reports rise in scam alerts, misleading promos

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TD settles sales practices class action

Bank to pay $22 million while denying fund manager's allegations

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Treasury proposes new anti-money laundering regulations for U.S. investment advisers

New rules would require advisers to file reports with the government when they suspect clients of suspicious activity

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SRO must hand out sanctions before appeal

MSC rules it's premature to hear an appeal until SRO case completed

Whistleblower

U.S. Supreme Court upholds whistleblower protections

Analyst was fired after claiming traders tried to influence research

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SEC sanctions brokers’ texting

Firms failed to ensure that all communications went through approved channels

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SEC, CFTC boost private funds’ reporting

Regulators aim to enhance systemic risk oversight, investor protection

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Exec convicted in crypto manipulation scheme

Trading bot used for wash trading, spoofing crypto token

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New SEC dealer rule sparks concern

Fund industry critics worry about rules' impact on liquidity, costs

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FSRA tightens LLQP exam-taking process

Regulator adopts tougher penalties for cheating, restrictions on rewriting

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FINRA revises arbitration rules

Changes come in the wake of independent review of SRO's arbitration program