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OSC INVITES APPLICATIONS FOR SECURITIES ADVISORY COMMITTEE

The Ontario Securities Commission (OSC) is inviting applications from qualified individuals to join its Securities Advisory Committee (SAC). SAC is a committee of industry experts that advises the OS...

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SEC
SEC ISSUES EXEMPTIVE RELIEF FROM TREASURY CLEARING REQUIREMENTS FOR CERTAIN INTER-AFFILIATE AND NON-U.S. REPO TRANSACTIONS
November 02, 2026

The Securities and Exchange Commission took another step forward to assist broker-dealers and other market participants on the pa...

FinCEN
FINANCIAL ACTION TASK FORCE IDENTIFIES JURISDICTIONS WITH ANTI-MONEY LAUNDERING, COMBATING THE FINANCING OF TERRORISM, AND COUNTER-PROLIFERATION FINANCE DEFICIENCIES
November 02, 2026

The Financial Crimes Enforcement Network (FinCEN) is informing U.S. financial institutions that the Financial Action Task Force (...

Investment Executive
COURT UPHOLDS BANK REPS" WRONGFUL DISMISSAL CLAIM
November 02, 2026

An Ontario court upheld a ruling that CIBC must pay damages to a pair of bank-based advisors that, the court found, were wrongful...

Investment Executive
PREDICTION MARKETS NOT IN PUBLIC INTEREST: ASIC
November 02, 2026

Australian regulators are taking a hard line on prediction markets, likening them to binary options, which are banned for retail ...

Investment Executive
CRYPTO VENTURE WAS A PONZI SCHEME: SEC
November 02, 2026

The operators of a crypto investment scheme that was purportedly tied to royalty-generating projects are being accused of defraud...

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