Compliance

Regulation

Investment firms skimming investors’ interest: FCA

December 12, 2023 James Langton
Modern urban skyscrapers in downtown Chicago from below to the blue summer sky. Sun reflecting in the glass facades of the urban futuristic buildings. Chicago, Illinois, USA
Regulation

Regulators update warning on advisor awards

December 8, 2023 Melissa Shin
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

U.K. regulators to intensify oversight of outsourcing

December 7, 2023 James Langton
The facade of the Royal Exchange in the City of London
From the Regulators

Swiss bank settles U.S. tax evasion charges

December 5, 2023 James Langton
From the Regulators

Carbon markets need rules too: IOSCO

December 4, 2023 James Langton
Green globe
From the Regulators

Cutting consultations won’t cut red tape: IIAC

December 1, 2023 James Langton
dominos falling
From the Regulators

CSA unveils binding authority for OBSI

November 30, 2023 James Langton
investor protection
News

Fund managers adjust ESG disclosure, communication in response to scrutiny: report

November 29, 2023 Mark Burgess
Magnifying glass
News

Saskatchewan seeks binding dispute resolution

November 28, 2023 James Langton
Saskatchewan legislative assembly
From the Regulators

OSC warns fund managers over misleading yields

November 28, 2023 James Langton
low yield investment
News

FSRA proposes guidance on life agent fitness

November 22, 2023 James Langton
Dominos falling
From the Regulators

Deepfakes come to investment scams, AMF warns

November 21, 2023 James Langton