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Rating agencies must boost governance, U.K. regulator says

FCA review finds weakness in oversight

FINRA launches high-tech rulebook

Initiative aims to streamline compliance, facilitate automation

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Bank played coy during financial crisis, FCA says

Regulator seeks sanction for disclosure failings in 2008

OSC asks tribunal to approve settlement with cannabis company, former CFO

The company failed to file accurate financial statements, the regulator alleges

cryptoassets regulation

Crypto cases make up 20% of CFTC enforcement

Agency secured more than US$2.5 billion in monetary sanctions in fiscal 2022

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Consumer groups call for action on ombudservice

Binding authority, single banking complaint body demanded

Confused trader

National Bank Financial sanctioned for internal control failings

Advisors exploited the firm's inadequate controls, according to a settlement agreement

No duty to disclose beneficiary change, court finds

A widow sued her brokerage firm, alleging it failed to tell her about a change in her husband's accounts

EU energy crisis sparks trading oversight task force

ESMA, EU energy regulator team up to increase market surveillance

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

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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

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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

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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