Regulatory

OSC compliance reviews focus on CFRs, crypto firms

Report on industry conflicts to be published soon with CSA, CIRO

By James Langton |July 27, 2023

3 min read

Former portfolio manager agrees to ban, $60K fine to settle KYC failings

Clients were invested in a fund that was too risky given their profiles

By James Langton |July 27, 2023

1 min read

U.S. bank mergers on hold for now: Fitch

Regulatory, financial and economic headwinds all weigh on deal activity

By James Langton |July 18, 2023

2 min read

IOSCO report details recommendations for carbon market regulation

The effort supports the use of cap-and-trade to combat emissions

By James Langton |July 18, 2023

2 min read