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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

FINTRAC bares more in disciplinary notices

Agency has begun offering greater detail on its enforcement activity

Graph tablet

IOSCO seeks more resilient trading

Most trading outages are traced back to software problems, it finds

Online fraud a growing threat to investors, regulators

IOSCO sounds alarm, calls for action to combat escalating online harm

European Union headquarters

CSA moves on T+1; Europe urged to follow suit

U.S. fund industry calls for global move to shorter settlement cycle

Quicker consults for OSC, FSRA now law

Change follows a report from the auditor general that found the rule-making process "exceedingly slow"

ESMA targets finfluencers, gamification

European regulators' paper examines investor protection issues arising from investment industry's digitalization

hands holding planet

Global code of conduct debuts for ESG ratings

Regulators welcome voluntary code for ESG ratings, data providers

rules and regulations

SEC adopts Treasury clearing rules

Industry trade groups remain hesitant about sweeping reforms

ESG letters

ESMA to review benchmarks’ ESG disclosures

Compliance exercise seeks to boost transparency, fight greenwashing