Investor protection

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
News

Court upholds $9 million in sanctions, disgorgement

August 30, 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

Court rejects appeals from fund rep, OSC

August 30, 2024 James Langton
Judge looks at papers
From the Regulators

On custody, crypto should follow tradition: WFE

August 29, 2024 James Langton
bitcoin investment concept on screen
From the Regulators

SEC ramps up funds’ portfolio disclosure demands

August 28, 2024 James Langton
Big binders
From the Regulators

ASIC tackles greenwashing risks

August 28, 2024 James Langton
Sustainable investing
From the Regulators

CFTC sanctions benchmark manipulation

August 27, 2024 James Langton
Judge looks at papers
From the Regulators

Crypto lender settles with SEC

August 27, 2024 James Langton
Judge's gavel with magnifying glass on black.
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

Alberta fraudster gets four years in jail

August 16, 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

FCA fines PwC for failing to blow whistle

August 16, 2024 James Langton
gavel on a laptop