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Judge looks at papers

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

Unregistered investment funds are allegedly costing investors millions

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Hands off AI, SIFMA urges regulators

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

Hand putting Coins in glass jar with retro alarm clock for time to money saving for retirement

Pension regulators unveil new guidance

CAPSA replaces 2004 guideline, consolidates risk management guidance

The Australian Coat of Arms in metal hangs on the glass wall of a building that reflects another high-rise across the street.

ASIC calls for distribution improvements

Poorly designed KYC questionnaires at the heart of recent enforcement actions

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

SEC tackles companies’ anti-whistleblower provisions

Seven companies settle allegations that labour contracts violated SEC rules

Judge looks at papers

Investors must be free to talk to regulators: SEC

Firms settle allegations that confidentiality deals impeded communications with regulators

Illustration of a businessperson using a magnifying glass to examine files

OSC enforcement summonses coming to your inbox

Government proposes easing service requirements for investigative notices

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

Rating agencies settle SEC texting charges

Firms failed to capture employees' private texts, WhatsApp chats

Crumbling bank

Regulators divided on digital bank runs: Fitch

Approach to guarding against deposit flight risk remains unsettled

digital investing

Finance jobs face acute AI threat

Higher-educated, better-paid workers most exposed, but low-wage workers face greater replacement risk