Compliance

Court rejects Binance’s challenge of OSC investigation

Undertaking doesn't preclude regulator's enforcement action, court finds

By James Langton |September 29, 2023

3 min read

Sustainable finance disclosure still falling short

Firms not disclosing investments' negative ESG impact, Paris alignment

By James Langton |September 29, 2023

2 min read

SEC, CFTC hit delete on firms’ WhatsApp, texting

Another 10 firms sanctioned for extensive recordkeeping violations

By James Langton |September 29, 2023

2 min read

U.S. fund industry slams new SEC fund-name rules

Regulator aims for truth in advertising, seeks to combat greenwashing

By James Langton |September 20, 2023

3 min read