Latest news in From the Regulators

Bank played coy during financial crisis, FCA says article image A man in a suit walking up concrete steps.

Bank played coy during financial crisis, FCA says

OSC asks tribunal to approve settlement with cannabis company, former CFO

Crypto cases make up 20% of CFTC enforcement article image cryptoassets regulation

Crypto cases make up 20% of CFTC enforcement

Consumer groups call for action on ombudservice article image megaphone

Consumer groups call for action on ombudservice

National Bank Financial sanctioned for internal control failings article image Confused trader

National Bank Financial sanctioned for internal control failings

No duty to disclose beneficiary change, court finds

EU energy crisis sparks trading oversight task force

Bridging investors to face off over distributions

Former CannTrust leaders plead not guilty to securities offences 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

Former CannTrust leaders plead not guilty to securities offences

IIAC seeks stricter regulation of market data fees article image a woman looking at her computer

IIAC seeks stricter regulation of market data fees

OSC regulatory actions continue downward trend article image rules and regulations

OSC regulatory actions continue downward trend

Climate reporting remains unfinished business: FSB article image climate change

Climate reporting remains unfinished business: FSB

Former mining CEO sanctioned for disclosure, trading violations article image Drilling, Sampling for an Excavation.

Former mining CEO sanctioned for disclosure, trading violations

BMO Nesbitt Burns sanctioned for oversight failures

OSC settles with unregistered crypto firm

OSC clears first crypto alternative trading system

IOSCO takes on the risks of innovation

SEC modernizes recordkeeping rules article image Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizing profits for large business organizations. (Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizin

SEC modernizes recordkeeping rules

CSA rethinks climate rules amid SEC, ISSB efforts article image Lightbulb drawn around tree image, indicating sustainable ideas

CSA rethinks climate rules amid SEC, ISSB efforts

FSB seeks consistency in crypto regulation article image Pile of cryptocurrency coins

FSB seeks consistency in crypto regulation

CFD scheme promoters sanctioned

CSA promises OBSI binding authority proposal article image Downtown Toronto Financial District Skyscrapers stock photo

CSA promises OBSI binding authority proposal

OSC seeks settlement with crypto platform

Work on new benchmark begins

Not an advisor, but still a fiduciary, court finds article image Broken eggs next to an overturned wicker basket. Concept: "Don't put all your eggs in one basket".

Not an advisor, but still a fiduciary, court finds