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businessman behind bars

“Safe” crypto token was anything but: SEC

Trio charged over alleged crypto fraud scheme

Stealing money

Former rep fined, banned by CIRO

Ex-NBF rep admitted to misappropriating clients' funds, as well as other violations

business man using magnifying glass to inspect documents

Four charged in alleged “free-riding” scheme

The four face SEC and DoJ charges for allegedly opening hundreds of sham accounts

announcement

FINRA deputy enforcement chief departs

SRO executive leaves after nine years at the agency

Alberta legislature resumes with promise of referendum on new taxes

The bill would prevent tax increases and changes to tax brackets or credits without a referendum

Judge's gavel with magnifying glass on black.

CPA Ontario sanctions Deloitte over backdating

Auditors altered computer settings to circumvent firm's controls

Quantum computer

FINRA enters the quantum realm

SRO examines potential implications of a computing revolution

Euro trading

Brexit shakes up EU trading landscape: ESMA

Trading volumes fell, fragmentation, specialization increased since U.K. left

FTX Arena in Miami, FL, USA. stock photo

FTX founder Sam Bankman-Fried acknowledges in court that customers were hurt but denies fraud

The crypto entrepreneur denied taking customers' funds in much-anticipated testimony

Judge looks at papers

Court upholds tribunal’s fraud ruling and penalty

The court found no errors in the panel's decisions on the merits or sanctions

Judge makes ruling

Court to hear appeal of BCSC stay ruling

Regulatory tribunal may have erred in dismissing abuse of process application, court finds

Magnifying glass on documents

CFTC, NASAA settle fraud targeting seniors

Scheme involved selling overpriced silver coins to older investors, retirees

penalty card

Complaint volumes surging, CIRO reports

Collections plunge as hefty sanctions are handed out

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

BCSC sanctions company, exec for misleading investors

Former executive fined, banned for seven years due to misconduct

Banks on money pile

Macklem warned premiers about dangers of putting BoC’s independence at risk

The exchange is the latest example of the heightened political scrutiny the BoC has faced post-pandemic

ESG building blocks

U.S sustainable funds face continued outflows

Macroeconomic conditions, ESG backlash continue to drive investors away

Magnifying glass on documents

OSC seeks to ban Ponzi schemer

Debit machine scheme involved unregistered securities, regulator alleges

Patron saint of investor protection passes away

Groundbreaking securities lawyer, Glorianne Stromberg, dies

Saving for home purchase

Fraser says housing measures coming in budget update, weighs in on short-term rentals

Federal minister says there will be measures to address "the financialization of housing"

merger

CIRO takes step toward consolidated dealer rules

New SRO aims to harmonize requirements for fund dealers and investment dealers

Ontario proposes quicker consultations for OSC, FSRA

Legislative changes would cut minimum comment period to 60 days

businessman running

ESMA seeks fit check for crypto sector

Regulator proposes guidance for assessing the fitness of management, large shareholders under new crypto regime

U.S. Canada flag

The fallout for Canada from U.S. market reforms

CSA and CIRO seek feedback on the SEC's market structure proposals

Advisor tracking stocks

CSA eases mutual funds’ move to T+1

Regulators propose revisions to accommodate variety of settlement cycles

big vs little

SEC considers curbs on trading fee models

Proposal aims to address concerns about competitiveness of smaller brokers