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- Peer review recommendations aim to improve corporate governance of financial institutions
- Switch to a shorter, two-year cycle and reduced credit requirements among proposals
- ArticleQuebec regulator signs partnership with R3
- The transition to a shorter settlement cycle is consistent with the U.S.
- Review of compensation-related conflicts reveals that disclosure alone is not sufficient
- The legislation would weaken reforms put in place by the Dodd-Frank Act in response to the financial crisis
- The product drew the most complaints and accounted for the majority of redress paid to consumers in the second half of 2016, the FCA reports
- Regulatory deadlines and updates for financial professionals. New this update: Competition Bureau eyes fintech and much more.
- The proposal of an explicit ban on binary options doesn’t imply that current offerings of binary options in Canada are legal, the CSA states
- The tipster informed the regulator of securities violations and helped the SEC in its subsequent investigation