Securities regulators to review final standards as implementation challenge looms
Industry braces for technical challenges as new disclosures take effect
Conflict of interest concerns spark regulators' review
As data transfer lags, launch date is pushed back
Commission structures, account transfer standards and dual registration are all in the works
Countdown to shorter settlement cycle transition in May 2024 has begun
Compliance sweep uncovers issues with identifying, disclosing and managing conflicts of interest, including conflicted compensation
Insurance regulators promised new guidance on upfront compensation structures
ASC, OSC give firms deadline extension on derivatives data reporting
Changes to dealer rules, trading rules aim to facilitate shorter settlement cycle