Compliance

Regulation

SEC wants to scrap ‘pay-to-play’ rule aimed at advisors

September 4, 2026 James Langton
U.S. equities
Regulation

FINTRAC sanctions Maritime gamers

September 3, 2026 James Langton
Regulation

Private fund reporting reforms delayed, again

September 3, 2026 James Langton
SEC
Regulation

SEC seeks back office reform

September 1, 2026 James Langton
Blue dollar
Regulation

Social media posts make industry vet unsuitable: tribunal

August 31, 2026 James Langton
hand holding a megaphone
Regulation

KKR settles DoJ anti-trust compliance case

August 27, 2026 James Langton
Wall Street
Regulation

Despite ban, retail investors still hurt: FCA

August 20, 2026 James Langton
Upset stressed young Asian business man in suit with hands on head sitting on stairs. Unemployment and layoff concept.
Regulation

OBSI, chargebacks remain on CSA agenda

August 18, 2026 James Langton
Regulation

ESMA seeks counterparty transparency

August 18, 2026 James Langton
AI vortex
Regulation

CFTC aims to avoid overlap with SEC

August 18, 2026 James Langton
Entrance to the U.S. Commodity Futures Trading Commission (CFTC) on their headquarters building in Washington; CFTC is an agency of the US government.
Regulation

Scotia Securities settles CIRO complaint-handling case

August 17, 2026 James Langton
Dispute at desk
Regulation

FINRA seeks to boost firms’ fraud defences

August 14, 2026 James Langton
investor protection