OSC
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GRIP Extra: FINMA to appeal Credit Suisse AT1 wipeout ruling, China implements new cross-border personal data regulations
Our in-brief roundup of notable stories from the last week.
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OSC accuses investment fund Purpose and its founder of greenwashing
According to the regulator the investment fund manager did not consider ESG in making investment decisions for many of the funds it managed.
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GRIP Extra: FINTRAC levies record fine; SEC to weigh waivers and settlements together
Our in-brief roundup of notable stories from the last week.
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GRIP Extra: CFTC/SEC again extend Form PF compliance, AMF pushes for stronger ESMA oversight
Our in-brief roundup of notable stories from the last week.
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GRIP Extra: Appeals court clears CFPB takedown, CFTC reviews internal time and attendance compliance
Our in-brief roundup of notable stories from the last week.
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Sales before service? Regulators scrutinize Canada’s bank-branch investment culture
A joint OSC-CIRO report reveals how sales targets and limited fund options may be putting client interests and workplace equity at risk.
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GRIP Extra: Jane Street denies market manipulation, Google faces EU antitrust complaint over AI overviews
Our in-brief roundup of notable stories from last week.
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GRIP Extra: CFTC nominee Quintenz quizzed by senators, FDA to use AI for drug approvals
Our in-brief roundup of notable stories from last week.