Regulation

Despite decline in enforcement activity, U.S. state regulators remain busy

September 22, 2015 James Langton

CSI to remain IIROC’s sole provider of proficiency education until 2020

September 22, 2015 James Langton

Women representation on boards still very low, but growing

September 22, 2015 James Langton

OSC’s CRR branch dealing with slew of regulatory reforms

September 21, 2015 James Langton

Canadian lawyer settles U.S. charges in microcap scheme

September 18, 2015 James Langton

Regulators approve changes to trading rules

September 18, 2015 James Langton

CFTC defines Bitcoin as a commodity

September 18, 2015 James Langton

FINRA moves to help firms better protect seniors

September 17, 2015 James Langton

Mystery shop highlights investor difficulties with advisors

September 17, 2015 James Langton

CSA seeks comments on enhancing fixed-income transparency

September 17, 2015 James Langton

FINRA releases guidance on liquidity risk management practices

September 16, 2015 James Langton

IOSCO identifies best practices for investment risk education

September 15, 2015 James Langton