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Keyword: Compliance

284 results found
tax inspector investigating financial documents

After reaching settlements with TD and RBC, the OSC put other firms on notice

guidelines and regulations binders

The new guidance applies to order-execution-only firms

compliance solutions rubber stamp

The guidance aims to help firms identify and engage appropriate consultants

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Referral cases more than doubled from 2018 to 2019

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New committee to provide input on technical compliance challenges

Compliance Legal Rule Compliancy Conformity Concept

Advisors also shared how firms could help further

compliance puzzle

Lower compliance costs will allow advisors to better serve smaller investors

Closeup of mallet being hit on stacked coins at table in courtroom

The case is the last of four involving the sale of syndicated mortgages

  • By: IE Staff
  • January 31, 2019 September 19, 2019
  • 12:43
Wall street sign in New York with American flags and New York Stock Exchange background.

Online distribution platforms are among the emerging issues identified by the U.S. self-regulatory organization

  • January 22, 2019 September 19, 2019
  • 14:45
Gavel and legal books

Renee Michelle Penko will spend 30 days in jail

  • By: IE Staff
  • January 10, 2019 September 14, 2019
  • 12:15