Refine list by
  A (21)
  B (14)
  C (117)
  D (11)
  E (2)
  F (102)
  G (2)
  H (4)
  I (3096)
  J (5951)
  K (15)
  L (17)
  M (188)
  O (9)
  Others (2)
    _ _ (2)
  P (24)
  R (53)
  S (31)
  T (48)
    Tom Hays (1)
  1. Megan Harman
    Carriers had to provide a wide range of information on the business they conducted during the previous calendar year by May 1
  2. James Langton
    The SRO brought a record 111 proceedings against both advisors and dealers and also levied $21.1 million in fines last year
  3. James Langton
    The Australian regulator will establish a new regtech industry liaison network
  4. James Langton
    The agreement delegates responsibility for licensing, registering and supervising certain PRPPs to OSFI
  5. James Langton
    The mutual fund firm will be able to finance educational events that Quebec-based lobby group for advisors, PAFSA, is hosting
  6. James Langton
    Given proposed new rules in Colorado and rules set in New York State, “it is likely that other states will issue cybersecurity requirements as well”
  7. James Langton
    The panel discussion was recorded at the 2016 IIROC compliance conference in Toronto
  8. James Langton
    Central banks are calling on FX industry firms to bring their trading practices in line with the principles of the code and to support its adoption
  9. James Langton
    Regulators must have the courage to foster a responsive regulatory climate while protecting investors
  10. IE Staff
    Regulatory deadlines and updates for financial professionals. New this update: derivatives reforms; compliance deficiencies and much more.