Industry News

Court rejects Binance’s challenge of OSC investigation

Regulation

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

Regulation

Sustainable finance disclosure still falling short

Firms not disclosing investments' negative ESG impact, Paris alignment

By James Langton |September 29, 2023

2 min read

Taking clients from “fine” to “flourishing”

Industry

Taking clients from “fine” to “flourishing”

With a new approach to monitoring, advisors can deepen connections and help clients set and achieve new goals

By Maddie Johnson |September 29, 2023

3 min read

Decorative pattern

Regulation

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