Regulation

U.K. report on asset managers finds deficiencies

April 7, 2016 James Langton
Advocis encouraging advisors, clients to oppose commissions ban

CSA to introduce new harmonized report for exempt distributors

April 7, 2016 James Langton

Regulators monitoring OBSI compensation refusal cases

April 7, 2016 James Langton
OBSI plans to improve resolution process

CSA’s revisions to OPR rule to address inefficiencies and costs

April 7, 2016 James Langton

ESMA finds room for improvement in supervision of retail investment advice

April 7, 2016 James Langton

Regulators challenged by cyber risk

April 6, 2016 James Langton
New York boosts cybersecurity

IIROC to increase compliance on compensation-driven conflicts

April 6, 2016 James Langton
FAIR Canada not in favour of regulators’ stance on best interest standard

U.S. unveils final version of fiduciary rule

April 6, 2016 James Langton
Trump carrying out a “behind-the-scenes” war on regulation: NBF report

Revisions proposed to Basel III leverage ratio framework

April 6, 2016 James Langton
Special Reports

Expert committee calls for regulation of financial planning, statutory duty

April 5, 2016 James Langton

Elderly widow most recent victim in binary options investment scam

April 5, 2016 James Langton

CFTC awards whistleblower US$10 million

April 4, 2016 James Langton