Regulation

ESMA fines Fitch Ratings

July 21, 2016 James Langton

OSC to review compensation, sales practices

July 21, 2016 James Langton

U.K. regulator reviews dark pool governance

July 21, 2016 James Langton

U.K. regulator eyes “regtech” to reduce compliance costs

July 20, 2016 James Langton

FINRA sanctions annuity firm for failing to prevent theft

July 19, 2016 James Langton

ESMA advises on extension of funds passport to 12 non-EU countries

July 19, 2016 James Langton

Canadian securities regulators recognize three trade repositories

July 18, 2016 James Langton

CSA continuous disclosure reviews find more deficiencies

July 18, 2016 James Langton

Enhanced disclosure has limited effect on consumers

July 18, 2016 James Langton

EBA launches data collection to support the new prudential framework for investment firms

July 15, 2016 James Langton

OSC launches Office of the Whistleblower

July 14, 2016 James Langton

FCNB to reciprocate national sanctions automatically

July 14, 2016 James Langton