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  1. James Langton
    Experiences in Australia show that initial concern for regulatory reforms will give way to growth down the road for the financial advice business, head of OSC suggests
  2. Patricia Chisholm
    Firms will have the power to place a temporary hold on client funds or securities that are to be disbursed if there’s a “reasonable belief of financial exploitation”
  3. IE Staff
    Don Murray’s and Maureen Jensen’s terms as vice chairman and chairwoman of the policy co-ordination committee, respectively, were also extended
  4. James Langton
    The FCA has reached a settlement with Christopher Niehaus for sharing information about a client to impress his friends
  5. James Langton
    The rules set out standards for both benchmark administrators and contributors
  6. James Langton
    Behavioural insights have a role to play in producing better regulatory policy, suggests a new report from the OSC’s Investor Office
  7. IE Staff
    Regulatory deadlines and updates for financial professionals. New this update: SEC adopts T+2; OSC priorities for fiscal 2018; and much more.
  8. James Langton
    Committee gives details on how regulators should treat forthcoming changes to international accounting standards on bank provisioning
  9. James Langton
    Although Richard Poirier’s violations are “egregious,” several mitigating factors justify $100,000 penalty and one-month suspension
  10. James Langton
    Global banks fall short in adopting new principles for aggregating and reporting risk data