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Former fund rep fined, banned over forgery

Rep recruited tenant as a client without firm's permission

Bridging priority case won’t see Supreme Court

Investors' lawyers decline to appeal reversal of novel ruling

HSBC fined over DIY client fee errors

Certain clients overcharged, others undercharged, due to recordkeeping glitch

CIRO fines Canaccord Genuity Corp. $500K for trading supervision failures

The breaches related to more than 10,000 wash trades

SEC shutters crypto-based structured product

Fixed-income notes based on crypto must be registered, regulator alleges

TD reaches NSF fee class action settlement

Similar cases remain outstanding against the other big banks

SEC awards US$28 million to seven whistleblowers

One individual and two sets of joint tipsters share rewards

Serial fraudsman gets jail time

Alberta man behind long-running scheme sentenced to four years

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

CIRO sanctions dealer’s supervisory lapses

Calgary's Leede Jones Gable fined $150,000 for oversight failings

Air raid sirens

CIRO drops harmonized sanctions guidance

SRO consolidates IIROC, MFDA approaches to enforcement penalties, policies

Potential class action against fund reps revived

Appeal Court finds alleged fiduciary duty breach can be basis for class action

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

CFTC looks to expand use of AI

Regulator names first chief data scientist

Court certifies another trailer-fee class action

Case against 1832 Asset Management L.P. is the latest to secure certification

penalty card

AMF sanctions exchange registration breach

Refinitiv allowed investors to trade on its platform without registering as an exchange

FCA finalizes reforms to revive listings

Regulator proposes bond market transparency reforms alongside simplified listing regime

tightrope

FSB, IOSCO tackle fund liquidity issues

Reforms aim to address challenges that arose during 2020 market stress

OSFI, FCAC to explore industry plans for AI, quantum computing

Study of firms' plans for advanced tech will inform regulation and oversight

IOSCO finalizes DeFi policy recommendations

Global regulators to focus on implementation with their policy approach complete

cryptocurrencies

Quebec judge convicts pair in crypto scheme

Operators of PlexCoin initial coin offering found guilty

Entrance of historic bank building of Swiss bank Credit Suisse. Photo taken April 19th, 2021, Zurich, Switzerland.

A series of unfortunate events doomed Credit Suisse

Regulators make case for greater supervisory and enforcement powers

Greenwashing and isolated green warning sign against white background stock illustration

Investors are largely ignoring greenwashing

European regulator finds there's no financial price for green scandals

Developer hit with more than $14 million in sanctions

After a previous settlement, real estate mogul should have known better, regulatory tribunal finds

European Union headquarters

Investors must beware of costs, inflation: ESMA

Regulator's research finds retail costs declining overall

A person inside a financial maze made out of hedges.

ATB Capital to lead liquidation of failed hedge fund

Court will consider firm's appointment by Traynor Ridge Capital's receiver

Magnifying glass

Companies face emissions reporting mandates even as Canada lags

Regulators around the world are forcing firms to disclose carbon emissions and other climate data