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Cyber-risk oversight a new top priority: ESMA

Compliance concern joins greenwashing as a focus for European regulators

Citibank

Citi sanctioned by CFPB for discrimination

Bank allegedly denied credit to customers of Armenian descent

Judge looks at papers

Rep banned, fined over client conflicts

Former fund rep was named in clients' wills and solicited money from them

cryptoassets regulation

Crypto crimes account for half of CFTC enforcement

Regulator saw several high-profile cases against crypto giants

whistleblower

BCSC offers whistleblower awards

Regulator to pay between $1,000 and $500,000 for enforcement tips

Silhouette of man at sunset

CIRO sympathetic to industry challenges with new conflict disclosures

Kriegler acknowledges additional burden to advisors resulting from regulatory changes

CIRO settles with dealer over capital shortfalls

Firm sanctioned over capital issues, internal controls and record-keeping

Crypto currency

U.K. proposes stablecoin regulations

FCA, BoE seek regime that allows innovation, ensures protections

Former rep fined, banned for taking loans from clients

Panel defers penalties while ex-rep repays clients

advisor and client meeting

AMF consults on total cost reporting for seg funds

Draft rules out for comment, expected to take effect in 2026

RBC settles internal controls case with SEC, OSC, AMF

Accounting for internal software development violated securities rules

Crypto money

U.K.’s FCA issues guidance on new crypto rules

Regulator aims to facilitate compliance with new regime

Ex-Goldman banker gets jail for insider trading

Banker tipped pal with inside info on potential M&A deals

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