Regulation

Regulators say advisor awards based on production may mislead clients

The CSA and CIRO will consider such awards a compliance issue

By James Langton |August 1, 2023

2 min read

SEC alleges US$1 billion crypto offerings were offside

Regulator insists cryptoassets were securities, despite efforts to skirt that designation

By James Langton |July 31, 2023

2 min read

U.S. regulators unveil bank capital reform proposal

Securities industry association expresses concerns with planned changes

By James Langton |July 27, 2023

2 min read

SEC targets conflicts in AI

Proposed rules would require firms to identify and combat conflicts built into technologies

By James Langton |July 26, 2023

2 min read