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

CFTC sanctions broker’s texting violations

SEC opts not to penalize investment adviser that self-reported violations

Judgment fine

Forex, crypto fraudster ordered to pay US$36 million

Court orders restitution, civil penalties alongside jail term

Climate change board

CFTC issues first voluntary carbon markets guidance

Regulator seeks to facilitate growth of fair, liquid and transparent emissions trading

Adoption of big regulatory changes must avoid unintentional harm

CSA, CIRO pledge market structure reforms

Canadian regulators plan measures to track SEC's trading rule reforms

Judge looks at papers

SEC sanctions adviser’s mismarking

Firm dumped overvalued illiquid securities on retail mutual funds, SEC alleges

advisor client meeting

CSA seeks fund disclosure overhaul

Regulators propose new streamlined fund reports

Bank of Canada building

BoC must be transparent to maintain trust: external deputy governor

The central bank cut its key interest rate earlier this month for the third time this year

Facade of bank of england

Bank of England keeps main interest rate on hold at 5%

Inflation in the U.K. held steady at an annual rate of 2.2% in August, still above the bank’s goal

Personal finances

CIRO sees swing to deficit in fiscal 2025

Integration costs to be paid by 2027, SRO projects

Businessman shamed

OSC alleges fraudster breached trading ban

Regulator charges Weizhen Tang with breaching permanent ban imposed in 2016

Judgment fine

Illegal distribution victim to get more money back: BCSC

Investor lost $1.75 million after mortgaging home to invest

Rules and regulations

SEC adopts sweeping market structure reforms

Moves to sub-penny trading increments among reforms to reduce costs, enhance transparency

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

SEC sanctions FTX’s auditors

Firm failed to appreciate the risks posed by FTX's affiliated hedge fund, regulator says

Judge looks at papers

BCSC bans unregistered crypto platform

Sanctions seek deterrence, level playing field for compliant crypto firms

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

Crypto robbers get lengthy jail terms

Crew targeted crypto in a series of violent home invasion robberies, U.S. authorities charged

Interest rate graphic

Will the Fed cut rates fast enough to deliver a ‘soft landing’?

The central bank is expected to announce a rate cut this Wednesday

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

U.S. court overturns verdict against BMO

BMO to unwind $1.2-billion provision after ruling in its favour

Group of business people holding puzzle pieces at a boardroom table

Fund dealer service expansion on hold

CIRO decides discretionary, discount accounts for fund dealers won't be pursued as part of rulebook consolidation project

Judge looks at papers

Pre-IPO schemes in U.S. authorities’ crosshairs

Unregistered investment funds are allegedly costing investors millions

Businessman examines statistics on a page

CCIR plans overhaul of complaints system oversight

Reforms follow a review that found shortcomings in existing arrangements

trader at desk

U.S. applauds T+1, in no hurry for T+0

Shorter settlement cycle has succeeded in reducing risk, freeing up capital

Frankfurt, Germany - November 09, 2020: European Central Bank ECB, EZB headquarters at Eastend Frankfurt, Germany. The European Central Bank (ECB) is the central bank of the Eurozone. Close-up of the logo in front of the building.

European Central Bank cuts rates, again. Next up: The Fed

Inflation in Europe is now down to 2.2%, close to the bank’s target of 2%

TD bank. stock photo

TD sanctioned for credit reporting violations

Bank repeatedly shared wrong information with credit reporting agencies, CFPB alleged

AI computer

Investors open to AI input on financial advice, report finds

OSC finds investors favour human-AI combo, no fear of AI advice

Handshake between robot and human, AI generated image

Hands off AI, SIFMA urges regulators

Trade group calls for tech-neutral, principles-based approach to regulation