Programs in U.S. and Canada have proven effective at detecting, deterring financial crime
OSC sweep uncovered issues with firms' account opening, client limits
Despite intensified uncertainty, risk landscape is largely stable
Regulators in both markets are increasingly friendly to bank consolidation: Fitch
Morgan Stanley sanctioned by SEC for supervisory failures
Rep circumvented registration limits to trade wider range of securities
Canadian, Nigerian law enforcement secure some recovery in crypto scam
Target of SEC enforcement can have access to frozen funds for appeal, court says
Intent is relevant to sanctions, panel says, imposing permanent market ban
A second former Stifel Nicolaus trader settles with SRO