Regulation

CIRO panel sanctions rep who acted as client’s PoA, executor

Serving as a client's executor totally incompatible with rep's role, panel says

By James Langton |March 8, 2024

2 min read

Court rejects latest bid to derail OSC case against Edward Gong

Tribunal decisions aren’t final until sanctions imposed, court says

By James Langton |March 8, 2024

2 min read

Fed to reconsider proposed regulatory changes

Big banks say the so-called Basel III endgame changes would limit their ability to lend

By Christopher Rugaber, The Associated Press |March 7, 2024

2 min read

CSA expands ESG guidance for investment funds

Regulators seek to combat fund industry greenwashing risks

By James Langton |March 7, 2024

3 min read