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Keyword: Compliance

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Regulator follows CISRO, FSRA with tougher exam administration policy

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"Landmark" legislation is significant step forward in protecting investors, organization says

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Proposal would require seg fund disclosure of embedded costs

Stormy waters

Regulator consults on revisions to boost intra-day liquidity insight

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European regulators call for enforcement action on compliance failures


Bank's treatment of customers in financial difficulty sparks sanction from U.K. regulator

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European regulators make recommendations for revitalizing capital markets

Technology security concept. Modern safety digital background. Protection system

Exchange failed to immediately report VPN vulnerability exploit

Blue spikes

Changes will raise demands on firms to warn investors about breaches

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U.K. regulators allege an unregistered FX trading scheme was touted on Instagram