Investor protection

From the Regulators

SEC shutters crypto-based structured product

December 22, 2023 James Langton
From the Regulators

SEC awards US$28 million to seven whistleblowers

December 22, 2023 James Langton
From the Regulators

Serial fraudsman gets jail time

December 22, 2023 James Langton
Regulation

CIRO sanctions dealer’s supervisory lapses

December 21, 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
Regulation

CIRO drops harmonized sanctions guidance

December 21, 2023 James Langton
Air raid sirens
Regulation

Potential class action against fund reps revived

December 21, 2023 James Langton
Regulation

CFTC looks to expand use of AI

December 21, 2023 James Langton
Business partnership meeting. Picture businessmans handshake. Successful businessmen handshaking after good deal. Horizontal, blurred (Business partnership meeting. Picture businessmans handshake. Successful businessmen handshaking after good deal. Ho
News

Court certifies another trailer-fee class action

December 20, 2023 James Langton
News

AMF sanctions exchange registration breach

December 20, 2023 James Langton
penalty card
News

FCA finalizes reforms to revive listings

December 20, 2023 James Langton
News

FSB, IOSCO tackle fund liquidity issues

December 20, 2023 James Langton
tightrope
People

Former OSC chair, FAIR co-founder dies

December 20, 2023 James Langton