Compliance

News

SEC, CFTC aim to ease private fund reporting

April 20, 2026 James Langton
changes ahead sign
News

OSC, AMF in French connection

April 20, 2026 James Langton
deal making
From the Regulators

SEC set to cancel advisory firms’ registrations

April 17, 2026 James Langton
Businessman inspecting paperwork document digitally
From the Regulators

CIRO issues phase two of CE reform proposals

April 16, 2026 James Langton
Focused young woman doing homework
News

FCA readies new approach to short-selling supervision

April 16, 2026 James Langton
Rule change
News

SEC to explore audit trail reform

April 16, 2026 James Langton
consultation discussion
News

For whistleblowers, it matters who knocks first

April 13, 2026 James Langton
whistle blower
From the Regulators

Issuers start moving to semi-annual reporting

April 9, 2026 James Langton
Businessman holding tablet with graphs
News

SEC names new enforcement chief

April 9, 2026 James Langton
New leader
News

CIRO seeks to tackle persistent policy challenges

April 8, 2026 James Langton
priority
From the Regulators

CIRO proposes short-selling reforms

April 2, 2026 James Langton
right or wrong choice
From the Regulators

ASX inquiry confirms cultural, governance failings

April 2, 2026 James Langton
magnifying glass