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Financial firms lead rise in class action payouts

Mega-settlements drive global settlements to a five year high, ISS unit reports

Quantum security threat to cost financial firms

Boosting defences to deal with vastly more powerful tech poses a challenge, Fitch says

European regulators to review pre-trade controls adopted to prevent flash crashes

Guards against "fat finger" error to face regs’ scrutiny

papers on a desk

FINRA reveals evolving compliance threats

SRO sees crypto, AI and new account fraud among emerging issues

Entrance to Financial Services Regulatory Authority of Ontario

FSRA tightens the screws on seg fund DSCs

New measures address the use of DSCs with existing contracts

CIRO fines Canaccord Genuity Corp. $500K for trading supervision failures

The breaches related to more than 10,000 wash trades

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

CIRO sanctions dealer’s supervisory lapses

Calgary's Leede Jones Gable fined $150,000 for oversight failings

Air raid sirens

CIRO drops harmonized sanctions guidance

SRO consolidates IIROC, MFDA approaches to enforcement penalties, policies

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CFTC looks to expand use of AI

Regulator names first chief data scientist

penalty card

AMF sanctions exchange registration breach

Refinitiv allowed investors to trade on its platform without registering as an exchange