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AMF issues complaint handling rules

CIRO firms exempt from new standards for Quebec financial firms

Dog in court

Dog belongs to estate, court rules

Core issue is ownership of the dog, which is considered property

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

Rep admits to unapproved discretionary trades

Settlement includes disgorgement, penalty and suspension

FCA promises faster, more transparent enforcement

U.K. regulator seeks to enhance deterrence, investor confidence

Reforms for money market funds need work: FSB

Progress to address liquidity mismatch has been uneven, review finds

Rep sanctioned for advising via Discord platform

Online posts amounted to securities-related business, CIRO panel found

Businessman Blowing Whistle Isolated on White Background

OSC awards tipster $1.5 million

Information expanded an investigation, helped protect investors

CEO failed to report trades, BCSC alleges

No evidence that executive tried to hide insider trades

investment risk

FSB warns of lurking stability risks

International body says policymakers must guard against complacency amid multitude of threats

SEC beefs up personal trading rules

Financial sector funds now out of bounds for regulator's employees

Remote working spawns insider-trading case

U.S. authorities allege man secretly traded after overhearing wife's M&A deal

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

Consultant sanctioned in private placement scheme

Bulk of funds issuers raised went to consultants that quickly dumped shares

woman working from home with her dog

CSA issues guidance on virtual shareholder meetings

Shareholder advocates have argued they haven't been able to participate fully when AGMs are online

OSC shines a light on “dark” arts of online investing

Investors face risks from sludge, nudges and other hidden tactics

CIRO arms firms to face ransomware attacks

SRO publishes playbook for dealing with growing cyber threat

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

Disclosure failures violated best-interest rules: SEC

Broker failed to alert investors to cheaper investing channel, regulator alleges

45 cents short, $96 in fees: Court approves TD insufficient fund fees settlement

The settlement will compensate customers who were double-charged a $48 fee

Judge's gavel with magnifying glass on black.

SEC settles with Van Eck over influencer involvement

ETF firm failed to disclose influencer's role in touting fund, regulator alleged

Ex-Goldman analyst convicted for U.K. insider trading

FCA alleged analyst traded on information about pending merger deals

rules and regulations

CIRO seeks new securities lending rules

Proposals aim to codify investor protections, enhance flexibility

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

Former rep on the hook for recruitment loan

Court rules promissory note between rep and firm is enforceable

BCSC funds FAIR Canada research on DIY investors

The funding comes from enforcement sanctions

Piles of coins

IOSCO consults on margin best practices

Seeks input by Apr. 14 aimed at improving markets' ability to handle elevated margin calls

FCA revs up its anti-hype machine

Regulator reports rise in scam alerts, misleading promos

TD settles sales practices class action

Bank to pay $22 million while denying fund manager's allegations