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  1. James Langton
    The rule amendments address risks that may arise when firms not regulated by IIROC or the MFDA are involved in the custody of client assets
  2. Marcy Gordon
    The president’s selection of Randal Quarles as vice chairman for bank supervision marks one of his first efforts to reshape the powerful central bank
  3. James Langton
    The new unit aims to consolidate the self-regulatory organization’s existing separate enforcement teams
  4. James Langton
    NASAA’s proposal aims to curtail the practice of advisors accessing client accounts through their clients' login information
  5. James Langton
    The offshore firm involved in the scam used images of a Canadian celebrity to draw victims in
  6. James Langton
    The regulator has advised that it considers offers of digital assets utilizing blockchain technology as securities
  7. James Langton
    Tips, plus documents and testimony, led to the award
  8. James Langton
    LedgerX registered as derivatives clearing organization
  9. James Langton
    Barclays ordered to pay $342-million penalty
  10. James Langton
    This approach aims to further enhance the regulator's accessibility and transparency