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Regulation
Regulation
U.S. DOL to implement fiduciary duty on June 9
May 23, 2017
James Langton
IE’s Regulatory Reporter: May 2017
May 19, 2017
Patricia Chisholm
IIROC proposes revised dealer rules resulting from changes at CCPs
May 18, 2017
James Langton
FCAA issues warning on possible scam
May 18, 2017
James Langton
U.S. CFTC to introduce fintech lab
May 18, 2017
Beatrice Paez
EBA consults on banks’ use of cloud computing
May 18, 2017
James Langton
CSA finds widespread compliance deficiencies at smaller firms
May 18, 2017
James Langton
IOSCO conference opens in Jamaica
May 17, 2017
James Langton
IIROC announces consultation on client identifiers
May 17, 2017
James Langton
FINRA reviewing brokers’ outside business activities
May 15, 2017
James Langton
FSCO issues warning about GCA Group
May 15, 2017
James Langton
Quebec court dismisses appeal in illegal distributions case
May 12, 2017
James Langton
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