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  1. James Langton
    Although Richard Poirier’s violations are “egregious,” several mitigating factors justify $100,000 penalty and one-month suspension
  2. James Langton
    Global banks fall short in adopting new principles for aggregating and reporting risk data
  3. James Langton
    New technologies could enable more effective detection of suspicious transactions and activities, reduce human error and enhance security
  4. Rudy Mezzetta
    CRA publishes new compliance guidance for CRS, FATCA
  5. James Langton
    Concerns about fees and charges are on the rise
  6. James Langton
    The regulatory committee aims to look at recommendations for giving OBSI binding powers
  7. James Langton
    The regulator will also look at ways to be more responsive to solutions from the investment industry while maintaining appropriate investor protection
  8. Beatrice Paez
    T+2 brings the cycle in line with other global markets
  9. IE Staff
    Regulatory deadlines and updates for financial professionals. New this update: proposed changes to POAs; anti-spam compliance; and much more.
  10. James Langton
    The U.S. investment industry’s SRO is seeking comment from stakeholders for suggestions on how to improve various aspects of its operations