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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

penalty card

BCSC sanctions unregistered trading

Man banned four years, pays $135,000 in settlement with regulator

Women welcome on boards, scarce in C-suites

Review highlights improved board diversity, lack of female CEOs, CFOs

Phone finances

FINRA reviews day-trading rules

SRO considers modernizing rules amid market, investor evolution

Gavel and Money - Canada stock photo

Bridging execs engaged in fraud: tribunal

OSC proved most of its case against failed firm's founders, panel ruled

consultation discussion

Europe relaxes rules, eyes more vibrant markets

ESMA consults on research bundling, prospectus requirements

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

Executor overstepped, ordered to pay costs

B.C. court finds executor's duty is to estate, not deceased

Boardroom talk

Canada slow to embrace nature risk reporting

Manulife unit only major financial firm to adopt TNFD recommendations

Big Ben

Why a rise in reported bullying at U.K. banks may be positive

FCA review finds an increase in workplace complaints

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

Tribunal rejects rep’s appeal of CIRO rulings

Acts in furtherance of a trade violated securities rules

Two businesswoman using virtual reality glasses at new office to enter the metaverse stock photo

Metaverse poses challenges to securities industry

SRO examines industry's foray into virtual worlds

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This isn’t your daddy’s bank run: FSB

In early 2023, banks faced unprecedented deposit outflows, and evidence suggests social media played a role

Judge looks at papers

Royal settles the case of the missing RESP grants

Firm was alerted to $1 million in missed grants by government review

Laundering money

Lawyers vulnerable to money launderers: FINTRAC

Bulletin alerts industry firms to risky activity involving legal profession

right or wrong choice

FINRA tightens rules around client lending

SRO curbs exemptions, toughens firms' approval requirements

whistle blower

OSC rewards foreign tipster

Regulator calls for more enforcement tips on emerging issues

Credit card

Goldman Sachs, Apple fined by CFPB

Firms' joint foray into consumer finance wasn't ready, regulator alleges