Compliance

Regulation

Prediction markets may run afoul of binary options ban: ESMA

July 3, 2026 James Langton
Phone finances
Regulation

RBC DS sanctioned for trading oversight lapses

July 2, 2026 James Langton
RBC
Regulation

FINRA to cut retake time between exam attempts for aspiring reps

June 30, 2026 James Langton
Woman writing an exam in a classroom
Regulation

SEC sanctions Merrill over AML failings

June 29, 2026 James Langton
SEC
Regulation

FCA tightens rules for closed-end funds

June 26, 2026 James Langton
Computer screen
Regulation

Rep’s firing not justified, until it was

June 26, 2026 James Langton
People shaking hands in a boardroom
Regulation

RBC fined $4.25M by FCAC

June 25, 2026 James Langton
Credit card
Regulation

CSA debuts new disclosure delivery model

June 25, 2026 James Langton
mature woman with tablet
Regulation

BCSC to hike fees

June 24, 2026 James Langton
Picking a dollar
Regulation

FCA consults on £1-million settlement

June 24, 2026 James Langton
Confused trader
News

FSRA fines intermediary $800K for fraudulent life insurance applications

June 12, 2026 Michelle Schriver
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
Regulation

FINRA seeks reforms to modernize, ease costs

June 12, 2026 James Langton
Sign on the building of Financial Industry Regulatory Authority, or Finra, in Manhattan NYC lower financial district downtown, businessman man walking stock photo