Compliance

News

OSC enforcement summonses coming to your inbox

September 4, 2024 James Langton
Illustration of a businessperson using a magnifying glass to examine files
News

Rating agencies settle SEC texting charges

September 4, 2024 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

Regulators divided on digital bank runs: Fitch

September 3, 2024 James Langton
Crumbling bank
Research and Markets

Finance jobs face acute AI threat

September 3, 2024 James Langton
digital investing
From the Regulators

ASIC tackles greenwashing risks

August 28, 2024 James Langton
Sustainable investing
Susan Silma

A better way to meet compliance disclosure requirements

August 21, 2024 Susan Silma
client meeting
From the Regulators

CIRO alleges dealer filed RESP grants inadequately for 20 years

August 19, 2024 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
From the Regulators

TD, RBC sanctioned by U.S. regulators

August 15, 2024 James Langton
rules and regulations
From the Regulators

FINRA sees deepening connections to crypto

August 13, 2024 James Langton
Bitcoin
From the Regulators

Fund rep fined, banned for client borrowing

August 8, 2024 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

Crypto compliance needs work: FCA

August 8, 2024 James Langton
News

FINTRAC sanctions Montreal wealth manager

July 31, 2024 James Langton