Regulation

Broker fined for unauthorized access violations Broker fined for unauthorized access violations

Regulation

Broker fined for unauthorized access violations

Marex Capital Markets sanctioned in settlement with MX

By James Langton |January 9, 2025

1 min read

Closing the gap between mutual, seg fund regulation Closing the gap between mutual, seg fund regulation

Regulation

Closing the gap between mutual, seg fund regulation

CCIR, CISRO propose new guidance on the design, distribution of seg funds

By James Langton |January 8, 2025

2 min read

BCSC sanctions trading scheme’s promoter BCSC sanctions trading scheme’s promoter

Regulation

BCSC sanctions trading scheme’s promoter

Regulator settles for less disgorgement than usual, given inability to pay

By James Langton |January 8, 2025

2 min read

RCMP brings in pilot advisory group to bolster capital market investigations RCMP brings in pilot advisory group to bolster capital market investigations

Regulation

RCMP brings in pilot advisory group to bolster capital market investigations

The group will support the force's Integrated Market Enforcement Team efforts

By Noushin Ziafati |January 8, 2025

2 min read

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