Preventing communication with clients could harm regulatory compliance
SRO proposes added measures to protect investors from exploitation
New guidance sets standards for emerging supervisory exercises
Bank manager processed US$92 million worth of transactions for ring
Credential requirements are being phased in over the next few years
Firm failed to report attempted suspicious transactions
Exchange to drop "minor violation" process, add new remediation function
SRO launches review of policy framework for the provision of advice
ESMA review finds ESG funds changing names, portfolios to align better
External provider stopped including CSE stocks in trading reports