Compliance

News

BCSC hands out first sanction under new enforcement tool

July 8, 2024 James Langton
From the Regulators

Rep refused registration for concealing criminal charge

July 5, 2024 James Langton
From the Regulators

ESMA adds detail to crypto rules

July 4, 2024 James Langton
Crypto money
News

BCSC, fund manager settle compliance issue case

July 2, 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 bank sanctioned for alleged oversight failures

July 2, 2024 James Langton
Bitcoin cryptocurrency with a pile of coins and smartphone, Vector illustrator
From the Regulators

Firms’ AI adoption poses compliance challenges: FINRA

June 27, 2024 James Langton
Solar system
From the Regulators

Advisor incorporation among CIRO’s priorities for 2025

June 26, 2024 James Langton
priority
News

Trading games drive heavier, riskier activity: FCA

June 20, 2024 James Langton
David Reeve

Leverage pre-trade compliance to drive value

June 10, 2024 David Reeve
stock market down
From the Regulators

Court strikes down SEC’s private fund rule

June 6, 2024 James Langton
A person inside a financial maze made out of hedges.
From the Regulators

European regulators remind industry to stop greenwashing

June 4, 2024 James Langton
Greenwashing and isolated green warning sign against white background stock illustration
From the Regulators

For many, @FinanceBro on par with industry advice

June 4, 2024 James Langton