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  1. James Langton
    While most countries have generally adopted client-asset protection regimes, progress varies
  2. James Langton
    New notice cites importance of establishing special committees of independent directors to protect the interests of minority shareholders
  3. James Langton
    Deutsche Bank, Citigroup, J.P. Morgan and Interactive Brokers have been cited for violating market access rules
  4. James Langton
    The corporate insider, who tipped off U.S. securities regulators to the alleged fraud, is the second whistleblower the SEC has awarded this week
  5. 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
  6. 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
  7. James Langton
    The new unit aims to consolidate the self-regulatory organization’s existing separate enforcement teams
  8. James Langton
    NASAA’s proposal aims to curtail the practice of advisors accessing client accounts through their clients' login information
  9. James Langton
    The offshore firm involved in the scam used images of a Canadian celebrity to draw victims in
  10. James Langton
    The regulator has advised that it considers offers of digital assets utilizing blockchain technology as securities