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Collage of british pounds

FCA to revise its approach to enforcement disclosure

Regulator commits to reform after judicial rebuke

IOSCO proposes fund liquidity risk reforms

Consultations target liquidity mismatch vulnerabilities at investment funds

EQ Bank Insurance

IOSCO names new secretary general

Spain's top regulator to lead global group of regulators

Greenwashing ESG

Invesco settles SEC greenwashing charges

Regulator alleges firm overstated the extent of funds' ESG integration

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 TD employee indicted for distributing customer data on Telegram

The employee worked in the bank's anti-money laundering department

new label

CIRO taps Fitch Learning for new proficiency model

Firm to help build infrastructure for new exam-based approach to reps' education

Businessman examines statistics on a page

CSA flags AI washing, greenwashing disclosures

Regulators' reviews lead to more enforcement, refiling action

Dispute at desk

OBSI reform slated for second half of 2025

CSA says next phase of consultation to come next year

The Australian Coat of Arms in metal hangs on the glass wall of a building that reflects another high-rise across the street.

ASIC consults on climate reporting guidance

Large companies, financial institutions to start climate-related financial disclosures in 2025

Judge looks at papers

Case against Cormark was regulatory overreach: Tribunal

OSC failed to prove any of its allegations against dealer, investment banker

Fraud

Fund rep sanctioned for allowing ‘stealth advising’

Leverage strategy deployed on the down low resulted in hefty financial losses

Magnifying glass on documents

OSC reviews funds’ risk ratings, ETF regulation

Regulator examines use of discretion in ratings, following OBSI alert

Here’s the reasoning behind BoC’s last rate decision

The central bank's next interest rate announcement is scheduled for Dec. 11

Judge looks at papers

Failed U.S. bank’s investors to see some restitution

CEO embezzled bank funds in crypto "pig butchering" scheme

research

FCA expands research unbundling to fund managers

U.K. regulator aims to improve access to research, market transparency

Judge looks at papers

Canadian pleads guilty in global pump-and-dump

Alleged mastermind to be sentenced in U.S. court next May

Business lawyer team. Working together of lawyer in the meeting.

Tribunal rejects tougher sanctions in crypto case

Panel dismisses call for stronger deterrence given risks posed by crypto, social media

Client listening to a lawyer or advisor explaining issues

NASAA adds best interest standard to model rule

Group seeks revisions to U.S. state rule that match SEC's Reg BI reforms

Magnifying glass on documents

It’s official: OBSI becomes sole external complaints body for banking

The move is expected to reduce delays, simplify the banking complaints system

Business lawyer team. Working together of lawyer in the meeting.

Court to hear Binance challenge to OSC investigation

Appeal Court agrees to rule once and for all on path for quashing a summons

a bright idea

CIRO proposes overhaul of arbitration program

Reforms would extend program to fund dealers, expand monetary limits, fund certain costs

TD bank. stock photo

U.S. senator calls out lack of charges for TD execs in money laundering case

Elizabeth Warren says executives and the bank itself were able to escape the full scope of penalties that Congress could have levied

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

Pyramid schemer banned in OSC settlement

Venture that led to conviction also violated securities rules, regulator says

Oversight direction

Ontario promises MGA licensing

OSC asked to review OM exemption, beneficial ownership registry being examined

Greenwashing ESG

Retail investors vulnerable to greenwashing: OSC

Experiment finds investors lured by ESG ratings they don't understand