Home News From the Regulators Page 65

Latest news in From the Regulators

HSBC fined over DIY client fee errors

CIRO fines Canaccord Genuity Corp. $500K for trading supervision failures

SEC shutters crypto-based structured product

TD reaches NSF fee class action settlement

SEC awards US$28 million to seven whistleblowers

Serial fraudsman gets jail time

CIRO sanctions dealer’s supervisory lapses 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

CIRO sanctions dealer’s supervisory lapses

CIRO drops harmonized sanctions guidance article image Air raid sirens

CIRO drops harmonized sanctions guidance

Potential class action against fund reps revived

CFTC looks to expand use of AI article image Business partnership meeting. Picture businessmans handshake. Successful businessmen handshaking after good deal. Horizontal, blurred (Business partnership meeting. Picture businessmans handshake. Successful businessmen handshaking after good deal. Ho

CFTC looks to expand use of AI

Court certifies another trailer-fee class action

AMF sanctions exchange registration breach article image penalty card

AMF sanctions exchange registration breach

FCA finalizes reforms to revive listings

FSB, IOSCO tackle fund liquidity issues article image tightrope

FSB, IOSCO tackle fund liquidity issues

OSFI, FCAC to explore industry plans for AI, quantum computing article image AI New Age Digital Brain Chip Concept alternate text for this image

OSFI, FCAC to explore industry plans for AI, quantum computing

IOSCO finalizes DeFi policy recommendations

Quebec judge convicts pair in crypto scheme article image cryptocurrencies

Quebec judge convicts pair in crypto scheme

A series of unfortunate events doomed Credit Suisse article image Entrance of historic bank building of Swiss bank Credit Suisse. Photo taken April 19th, 2021, Zurich, Switzerland.

A series of unfortunate events doomed Credit Suisse

Investors are largely ignoring greenwashing article image Greenwashing and isolated green warning sign against white background stock illustration

Investors are largely ignoring greenwashing

Developer hit with more than $14 million in sanctions

Investors must beware of costs, inflation: ESMA article image European Union headquarters

Investors must beware of costs, inflation: ESMA

ATB Capital to lead liquidation of failed hedge fund article image A person inside a financial maze made out of hedges.

ATB Capital to lead liquidation of failed hedge fund

Companies face emissions reporting mandates even as Canada lags article image Magnifying glass

Companies face emissions reporting mandates even as Canada lags

FINTRAC bares more in disciplinary notices

IOSCO seeks more resilient trading article image Graph tablet

IOSCO seeks more resilient trading