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  1. James Langton
    Co-operation agreement fosters cross-border oversight of alternative fund managers
  2. James Langton
    The revised capital rules for global banks will start to take effect in January 2022, and will be phased in over five years
  3. James Langton
    Firms must ensure they make adequate disclosure regarding the use of internal ombudsmen
  4. James Langton
    The draft technical standards aim to help financial services firms manage money laundering and terrorist financing risks in situations in which they have subsidiaries in certain countries
  5. James Langton
    IIROC correct in concluding that fromer rep was dealing with clients
  6. James Langton
    18 firms approved for latest cohort
  7. James Langton
    The regulator’s whistleblower program, which pays for information resulting in significant enforcement action, has awarded more than US$179 million to 50 whistleblowers thus far
  8. James Langton
    IIROC and the CSA have begun to gather information in order to determine whether any regulatory action is required
  9. James Langton
    A volunteer minister is prohibited from having members of his church as clients
  10. IE Staff
    Regulatory deadlines and updates for financial professionals. New this update: new IIROC CE rules coming into force and much more