Marketing tactics by crypto firms are raising concerns with CSA and IIROC
North American body adopts diversity, inclusion policy
Regulatory oversight for benchmarks comes in response to the LIBOR scandal
The NSSC and FCNB published a consultation paper on possible governance reform
The advocacy group calls for action to preserve competition and protect investors
Loss of third-party fund distribution seen as "unintended consequence" in 2018
The SRO has elected to maintain more prescriptive guidance around KYC reviews
The regulator issued more administrative sanctions in 2020–21 than the previous year but monetary sanctions were way down
Court gives nod to receiver's plan to find counsel for investors
A virtual panel will examine a range of regulatory issues driven by the rise of ESG investing