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VANCOUVER RESIDENT DIDN"T COMPLY WITH RECORDS DEMAND AND OBSTRUCTED JUSTICE, BCSC PANEL SAYS

A panel of the BC Securities Commission (BCSC) has found that a Vancouver resident failed to comply with a demand to produce records during an investigation and obstructed justice. In June 2024, BCSC...

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FCA
FCA FINES NATIONWIDE £44M FOR FAILINGS IN FINANCIAL CRIME CONTROLS
December 15, 2025

The FCA has fined Nationwide Building Society £44m for inadequate anti-financial crime systems and controls between October 2016 ...

FCA
FCA CONFIRMS FINAL GUIDANCE TO TACKLE SERIOUS NON-FINANCIAL MISCONDUCT IN FINANCIAL SERVICES
December 15, 2025

In July, the FCA changed their rules – setting clearer standards for how financial services firms should address non-financial mi...

IOSCO
GLOBAL STANDARD-SETTING BODIES PUBLISH ASSESSMENT OF MARGIN REQUIREMENTS FOR NON-CENTRALLY CLEARED DERIVATIVES
December 15, 2025

The BCBS and IOSCO published a report that reviews the implementation of margin requirements for non-centrally cleared derivative...

CIRO
CSA AND CIRO PROVIDE GUIDANCE FOR FINFLUENCERS AND FIRMS ON HOW TO WORK WITH THEM AND PROTECT INVESTORS
December 12, 2025

The Canadian Securities Administrators (CSA) and Canadian Investment Regulatory Organization (CIRO) have released new guidance fo...

CIRO
CANADIAN SECURITIES REGULATORS" NEW CAPABILITY DISARMS MORE THAN 3,900 FRAUDULENT INVESTMENT WEBSITES
December 12, 2025

The Canadian Securities Administrators (CSA) in collaboration with the Canadian Investment Regulatory Organization (CIRO) announc...

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