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Court upholds OSC decision denying rep’s appeal

An Ontario court rejected an appeal over IIROC sanctions

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

Robinhood sanctioned for 2020 outages

Firm fined for operational failures, service and supervisory issues

FSRA proposes new conditions on life MGA

Supervision framework “largely based on delegation to upline agents,” regulator alleged

Bridging investors granted time for legal action

Court pauses limitation period on possible claims against advisors, dealers

social media

FCA wades into finfluencer fray

U.K. regulators are increasingly concerned about investors being harmed by social media scams

Silicon Valley Bank headquarters and branch stock photo

FDIC taps BlackRock to sell failed bank portfolios

SVB, Signature Bank's holdings of mortgage-backed securities, CMOs to be sold off

House of Commons in Ottawa

Liberal tax promise tracker, post-budget edition

Here’s the status of tax proposals that matter to your clients

Private Equity sign

Private funds pique regulators’ interest

Sector's rapid growth raises concerns with global regulators

BCSC has $70K to return to fraud victims

Investors lost millions to scheme, regulator found in 2018

Hand holding world currencies

Merrill Lynch settles SEC fee disclosure charges

Firm failed to inform clients about added forex charges, regulator alleged

Startup CEO duped JP Morgan, authorities allege

Founder accused of falsifying user data before US$175 million buyout

SRO asks dealers to upvote its new name and look

New branding would replace existing logos by the end of 2024

whistleblower

Don’t sit on whistleblower tips, SEC ruling shows

Tipster fails to sway regulator on divvying up reward

Discount brokers’ trailers harm all investors, lawsuit alleges

Proposed class action claims that improper fees hurt investors' returns

U.S. sanctions Wells Fargo for oversight failures

Federal Reserve, Treasury fine bank for lapses that enabled U.S. sanctions breaches

Ex-Portus chief’s co-conspirator pleads guilty

Woman admits to charges in fraud scheme involving Boaz Manor

Modern office building close up in sunlight

Bank of Canada watching for potential spillovers from global banking stresses

Deputy governor Toni Gravelle said global banks are more resilient today than they were 15 years ago

responsible investments fossil fuels oil and gas energy sector

FCA’s anti-greenwashing effort needs more time

Regime to protect investors must also work for industry, regulator says

woman at laptop

Budget seeks to expand financials’ diversity disclosure, virtual meetings

Government aims to improve transparency at federally regulated financial institutions

Low angle view of Skyscrapers in downtown Toronto during the day

Budget promises reform to banking complaints

FCAC charged with selecting single, external complaints body

Skyline of downtown Montreal in Summer

MX seeks market surveillance boost

Exchange proposes new client ID requirements

The next hurdle in climate reporting: oversight

IOSCO calls for work to develop assurance standards for sustainability reporting

SEC secures asset freeze against accused Canadians

B.C. court grants injunction against defendants in global pump and dump scheme

S&P fined by ESMA for rating rule breaches

Rating agency hit with €1.1-million penalty for internal control shortcomings

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

Stopping the clock on advisor lawsuits over Bridging

Firm seeks to suspend the limitation period on potential claims against advisors and dealers