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  1. James Langton
    The regulator is following the lead many foreign regulators have taken to extend the deadline for firms to comply with certain new requirements
  2. IE Staff
    All nine Supreme Court justices dismissed appeals from Ronald Aitkens and Jeremy Peers, who are both facing Securities Act charges in two unrelated cases
  3. James Langton
    The guidance aims to address the “unique issues” robo-advisors raise while the bulletin aims to alert investors to several issues they should consider
  4. James Langton
    $120,000 now available to investment scheme victims
  5. James Langton
    The project will allow firms to test novel products and services without full regulatory approval in a way that also provides investor protection
  6. James Langton
    The settlement stems from allegations that the firm failed to properly supervise former portfolio manager Krishna Sammy
  7. IE Staff
    Regulatory deadlines and updates for financial professionals. New this update: beefing up the search for misconduct; regulators take a close look at work from home
  8. James Langton
    This year’s compliance exams will focus on suitability and KYC issues as well as the new cost and performance reporting requirements under CRM2
  9. James Langton
    Many jurisdictions consider their rules for investment funds sufficient to address loan funds
  10. James Langton
    Regulators in Ontario and the U.K. are aiming to ease the path for fintech firms to expand to each other’s markets