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Regulation
Regulation
OSC plans roundtable on proxy voting reforms
October 18, 2016
James Langton
FINRA fines Merrill Lynch US$2.8 million
October 18, 2016
James Langton
IIROC hearing panel bans advisor for five years due to various infractions
October 17, 2016
James Langton
Phase two of bond market transparency initiative takes effect Nov. 1
October 17, 2016
James Langton
Australian regulators continue to review ASX trading outage
October 14, 2016
James Langton
NSSC issues alert on binary options trading platform
October 14, 2016
James Langton
SEC steps up regulation of U.S. asset-management business
October 13, 2016
James Langton
IIROC proposes new rules on best execution
October 13, 2016
James Langton
MFDA hearing panel bans, fines rep for charging clients additional fees
October 13, 2016
James Langton
SEC imposes US$9.5 million penalty on Deutsche Bank Securities
October 13, 2016
James Langton
Fund rep banned, fined over exempt-market losses
October 12, 2016
James Langton
Global banking regulators revise loss absorbing rules
October 12, 2016
James Langton
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