Compliance

News

Crypto crimes account for half of CFTC enforcement

November 7, 2023 James Langton
cryptoassets regulation
From the Regulators

CIRO settles with dealer over capital shortfalls

November 6, 2023 James Langton
From the Regulators

U.K.’s FCA issues guidance on new crypto rules

November 2, 2023 James Langton
Crypto money
News

CPA Ontario sanctions Deloitte over backdating

October 31, 2023 James Langton
Judge's gavel with magnifying glass on black.
News

FINRA enters the quantum realm

October 30, 2023 James Langton
Quantum computer
From the Regulators

Complaint volumes surging, CIRO reports

October 25, 2023 James Langton
penalty card
From the Regulators

BCSC sanctions company, exec for misleading investors

October 24, 2023 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

Patron saint of investor protection passes away

October 23, 2023 James Langton
From the Regulators

CIRO takes step toward consolidated dealer rules

October 20, 2023 James Langton
merger
News

Ontario proposes quicker consultations for OSC, FSRA

October 20, 2023 James Langton
From the Regulators

The fallout for Canada from U.S. market reforms

October 19, 2023 James Langton
U.S. Canada flag
From the Regulators

CFTC plans tougher stance, bigger fines

October 18, 2023 James Langton
Cop chasing crook