SRO consolidates IIROC, MFDA approaches to enforcement penalties, policies
Appeal Court finds alleged fiduciary duty breach can be basis for class action
Regulator names first chief data scientist
Case against 1832 Asset Management L.P. is the latest to secure certification
Refinitiv allowed investors to trade on its platform without registering as an exchange
Regulator proposes bond market transparency reforms alongside simplified listing regime
Reforms aim to address challenges that arose during 2020 market stress
Stanley Beck was a regulator, academic and investor advocate
Global regulators to focus on implementation with their policy approach complete
Operators of PlexCoin initial coin offering found guilty