investor protection

Financial stability risks loom, FSB warns G20

Financial stability risks loom, FSB warns G20

Tight financial conditions, high economic uncertainty remain key vulnerabilities

By James Langton |October 11, 2023

3 min read

Report warns of crypto sector’s inherent investor protection threats

Report warns of crypto sector’s inherent investor protection threats

ESMA says novel abuses need to be addressed for DeFi sector to grow

By James Langton |October 11, 2023

2 min read

Court rejects Binance’s challenge of OSC investigation

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

Sustainable finance disclosure still falling short

Firms not disclosing investments' negative ESG impact, Paris alignment

By James Langton |September 29, 2023

2 min read

Decorative pattern

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

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

Decorative pattern

Planning and Advice

Getting to the bottom of dementia, PoA concerns

In a hypothetical scenario, a client and power of attorney are at odds

By Michelle Schriver |September 13, 2023

6 min read

Crypto a threat to financial, economic stability

Crypto a threat to financial, economic stability

FSB and IMF call for comprehensive regulation of crypto sector

By James Langton |September 7, 2023

1 min read

OSC seeks cease trade in forex fraud case

OSC seeks cease trade in forex fraud case

Regulators allege the scheme took over US$300 million from investors

By James Langton |September 7, 2023

2 min read

Decorative pattern

CSA increased bans, fines in latest fiscal year

Regulators' year in review also detailed crypto oversight, CFR sweep

By Staff |September 7, 2023

2 min read

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