Compliance

From the Regulators

Industry consolidation poses risks to investors: FCA

October 31, 2025 James Langton
Group of business people holding puzzle pieces at a boardroom table
News

FCA warns investors against claiming ‘professional’ status

October 30, 2025 James Langton
investor protection
News

OSFI eases banks’ crypto limits

October 30, 2025 James Langton
Bitcoin cryptocurrency with a pile of coins and smartphone, Vector illustrator
Research and Markets

SEC approval for multi-class ETFs a positive: Moody’s

October 29, 2025 James Langton
old way, new way
News

CIRO awaiting CRA feedback on advisor corporations

October 29, 2025 James Langton
Economic indicators
News

FCA proposes reforms to short-selling rules

October 28, 2025 James Langton
Green and red trading candlesticks on blue display
From the Regulators

ESMA targets cybersecurity, ESG disclosure

October 24, 2025 James Langton
Computer keys
From the Regulators

Crypto platform not liable for scam victim’s losses

October 23, 2025 James Langton
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
News

BCSC settles with pair over unregistered activity

October 22, 2025 James Langton
Judgment fine
News

OSC flags concerns with firms’ digital tactics

October 22, 2025 James Langton
Phone text
From the Regulators

Cryptocurrency exchange Cryptomus fined record $177M by FINTRAC

October 22, 2025 Tara Deschamps, The Canadian Press
penalty card
From the Regulators

FCA gets beefed up anti-crime duties

October 21, 2025 James Langton
Robber captured