Unregistered investment funds are allegedly costing investors millions
Reforms follow a review that found shortcomings in existing arrangements
OSC finds investors favour human-AI combo, no fear of AI advice
Trade group calls for tech-neutral, principles-based approach to regulation
CAPSA replaces 2004 guideline, consolidates risk management guidance
Regulator brings first case alleging breach of money laundering rules involving unregistered crypto activity
Poorly designed KYC questionnaires at the heart of recent enforcement actions
Investors lost over US$100 million in illegal scheme, CFTC alleges
Complying with new ESG naming requirements proving harder than expected for some firms, regulator says
Seven companies settle allegations that labour contracts violated SEC rules