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Bridging investors to face off over distributions

Court to decide whether certain investors will get priority in fund recoveries

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

Former CannTrust leaders plead not guilty to securities offences

CannTrust has since renamed itself Phoena Holdings and exited creditor protection in March

a woman looking at her computer

IIAC seeks stricter regulation of market data fees

The trade group wants more disclosure of data costs and revenues

rules and regulations

OSC regulatory actions continue downward trend

In the coming year, the regulator will assess how firms are implementing the CFRs

climate change

Climate reporting remains unfinished business: FSB

Investors, lenders can't yet properly price climate risks, report says

Drilling, Sampling for an Excavation.

Former mining CEO sanctioned for disclosure, trading violations

BCSC fines, bans executive, geoscientist over deficient report on mineral reserves

BMO Nesbitt Burns sanctioned for oversight failures

Firm settles IIROC allegation of inadequately supervising new-issue trading

OSC settles with unregistered crypto firm

Seychelles-based firm to pay $1.2 million in penalties and disgorgement for violations

OSC clears first crypto alternative trading system

Regulator grants relief to allow regulated crypto marketplace

IOSCO takes on the risks of innovation

New guidance tackles risks posed by finfluencers, gamification, social media

Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizing profits for large business organizations. (Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizin

SEC modernizes recordkeeping rules

Changes aim to adapt regulator's requirements to tech innovation

Lightbulb drawn around tree image, indicating sustainable ideas

CSA rethinks climate rules amid SEC, ISSB efforts

The Canadian regulators are reviewing comments and analyzing policy differences

Pile of cryptocurrency coins

FSB seeks consistency in crypto regulation

Group proposes "same risk, same regulation" approach to oversight

CFD scheme promoters sanctioned

Ontario regulator ordered a 10-year ban and monetary sanctions

Downtown Toronto Financial District Skyscrapers stock photo

CSA promises OBSI binding authority proposal

Regulators say proposal will be published in the coming year

OSC seeks settlement with crypto platform

Firm that allegedly flouted OSC deadline will have a hearing on Oct. 12 to consider settlement

Work on new benchmark begins

Working group finds strong consensus in favour of term CORRA to replace CDOR

Broken eggs next to an overturned wicker basket. Concept: "Don't put all your eggs in one basket".

Not an advisor, but still a fiduciary, court finds

B.C. court finds unregistered, unqualified advisor must be held to industry standards

IIROC formally expels First Leaside

The expulsion follows a 10-year suspension of the firm

OSC chief makes the case for crypto regulation

Crypto losses hurt individuals and the economy, Vingoe says

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

Court rebuffs challenge to BCSC investigation

Regulatory investigations should be allowed to run their course, ruling says

New SRO begins work on IAP

MFDA, IIROC seek members for investor panel, deadline Nov. 7

Firm fined over best execution failures

FINRA sanctioned Barclays Capital for routing orders to its own ATS

Oversight failures allowed fraud to flourish: IIROC

MD Management sanctioned for lax controls that allowed a rep to steal from elderly clients

UBS sanctioned for short-selling violations

FINRA fined the firm for long-standing compliance issues