Regulation

IIROC reaches settlement with three former All Group reps

August 3, 2017 James Langton

OCC seeks input on revisions to Volcker Rule

August 2, 2017 James Langton

SEC settles with Vancouver man for role in pump-and-dump scheme

August 2, 2017 James Langton
Court rules in favour of labour-sponsored venture fund against fund manager

Australia targets binary options apps

August 1, 2017 James Langton

Brokerage firms in the U.S. to have simplified single filing portal

August 1, 2017 James Langton

Ontario court rejects appeal

August 1, 2017 James Langton

New York boosts cybersecurity

July 31, 2017 James Langton
New York boosts cybersecurity

OSFI sets out new rules for pension plans’ use of derivatives

July 31, 2017 James Langton
Adoption of big regulatory changes must avoid unintentional harm

CSA’s big education efforts targeted CRM2 and binary options scams

July 31, 2017 James Langton
Firms increasingly adopting electronic data feeds to track insurance policies

FCA’s CEO calls for transition away from LIBOR

July 28, 2017 James Langton

Compliance Calendar 2017: Recent Updates

July 28, 2017 IE Staff
OSC compliance reviews continue to reveal deficiencies

SEC falling short in improving cybersecurity

July 28, 2017 James Langton
New threats present cybersecurity risks for financial services firms