Investor protection

From the Regulators

FCA expands research unbundling to fund managers

November 5, 2024 James Langton
research
From the Regulators

Canadian pleads guilty in global pump-and-dump

November 4, 2024 James Langton
Judge looks at papers
From the Regulators

Tribunal rejects tougher sanctions in crypto case

November 4, 2024 James Langton
Business lawyer team. Working together of lawyer in the meeting.
From the Regulators

NASAA adds best interest standard to model rule

November 4, 2024 James Langton
Client listening to a lawyer or advisor explaining issues
News

Court to hear Binance challenge to OSC investigation

October 31, 2024 James Langton
Business lawyer team. Working together of lawyer in the meeting.
News

CIRO proposes overhaul of arbitration program

October 31, 2024 James Langton
a bright idea
People

Move to T+1 both easier, and harder, than T+2

October 31, 2024 James Langton
trade timing
News

Pyramid schemer banned in OSC settlement

October 31, 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

Ontario promises MGA licensing

October 30, 2024 James Langton
Oversight direction
News

Retail investors vulnerable to greenwashing: OSC

October 30, 2024 James Langton
Greenwashing ESG
News

BCSC sanctions unregistered trading

October 30, 2024 James Langton
penalty card
News

Women welcome on boards, scarce in C-suites

October 30, 2024 James Langton