Compliance

From the Regulators

ESMA unveils new digital strategy

January 13, 2026 James Langton
Computer screen
From the Regulators

Court denies broker injunction against insurer

January 8, 2026 James Langton
Court decision, Justice
From the Regulators

FINRA seeks ‘speed bumps’ to guard against fraud

January 8, 2026 James Langton
new rules
From the Regulators

Europe adding ESG risks to industry stress testing

January 8, 2026 James Langton
words ESG on a wood block and Future environmental conservation and sustainable ESG modernization development by using the technology of renewable resources to reduce pollution and carbon emission.
News

Ex-TD banker pleads guilty in money laundering case

January 7, 2026 James Langton
TD bank. stock photo
From the Regulators

Advisor title regulation in effect for New Brunswick

January 6, 2026 James Langton
advisor and client meeting
From the Regulators

Crypto platform sanctioned by FINTRAC

December 18, 2025 James Langton
Judgment fine
From the Regulators

MX proposes changes to enforcement

December 18, 2025 James Langton
Old and new sign
News

CIRO wants to tear down the barriers to online advice

December 17, 2025 James Langton
online investing
News

Fund industry responds to anti-greenwashing efforts

December 17, 2025 James Langton
Greenwashing and isolated green warning sign against white background stock illustration
From the Regulators

CIRO settles with dealer for oversight lapse

December 17, 2025 James Langton
virtual regulation
News

Panel rejects CIRO case against reps, again

December 16, 2025 James Langton
papers on a desk