After pilot program, ASC, FCAA maintain exemption based on financial knowledge
ESMA consultation finds mixed feelings on shorter settlement cycle
OSC, AMF call for freshening up fund governance
Appeals by advisor, analyst in insider trading case dismissed
Regulator details results of review, calls for action from firms
Ban, fine of $300K follow repeat episode of unapproved outside business activity
Panel orders penalties for disgorgment and deterrence
Firms allegedly made misleading statements about their use of AI in investing strategies
Crypto lending program amounted to unregistered securities offering, regulator charged
SRO brings first case following compliance review targeting firms' use of online influencers