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Chart showing ups and downs of stock market

Regulators find certain funds are highly leveraged and complex

Using phone for finances

Review by U.K. regulator finds firms need to focus on investor screens, value

Businessman inspecting paperwork document digitally

CSA unveils first project under new effort to test industry innovations

Sign on the building of Financial Industry Regulatory Authority, or Finra, in Manhattan NYC lower financial district downtown, businessman man walking stock photo

Investors didn't get paid for lending securities, SRO alleged

Judge's gavel with magnifying glass on black.

CIRO, CSA to publish joint report on CFR sweep in first half

consultation discussion

CCIR, CISRO propose new guidance on the design, distribution of seg funds

Pile of cryptocurrency coins

ESMA issues series of guidance ahead of new regime's launch at year end

Crypto money

OSC sweep uncovered issues with firms' account opening, client limits

Compliance sweep in 2022 found WealthBar wasn't meeting new standards

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

Firm failed to oversee trading activity by a couple of its reps