Firm failed to oversee trading activity by a couple of its reps
Firms strong enough to face down weak flows, growing margin pressure
U.K.'s FCA fines bank over faulty automated transaction surveillance system
Regulator commits to reform after judicial rebuke
Regulator alleges firm overstated the extent of funds' ESG integration
Regulators' reviews lead to more enforcement, refiling action
CSA says next phase of consultation to come next year
Large companies, financial institutions to start climate-related financial disclosures in 2025
OSC failed to prove any of its allegations against dealer, investment banker
Leverage strategy deployed on the down low resulted in hefty financial losses