In a settlement with the Bourse de Montréal’s (MX) regulatory division, UBS Securities LLC, was sanctioned for several alleged vi...
CN Editor
January 21, 2026
CORIENT PLANS EXPANSION INTO CANADA
CFTC ASSERTS OVESIGHT OF PREDICTION MARKETS
FCA LAUNCHES ESG RATINGS PILOT
U.S. COURT ORDERS SANCTIONS IN ALLEGED PONZI SCHEME
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BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
HOW FIRMS CAN USE AI IN A RESPONSIBLE, COMPLIANT WAY
ADJUDICATOR IN OSC VS. PURPOSE CASE STEPS DOWN
GUIDANCE ON TRADING SUPERVISION OBLIGATIONS