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Keyword: Compliance

560 results found
Pro bono advice

Labor Department finalizes fiduciary rule for retirement advice

environment

Regulator seeks to extend regime to portfolio managers

Bitcoin cyptocurrency

Regulator adopts new charges to cover added costs on overseeing crypto sector

Gavel and Money - Canada stock photo

SRO proposes doubling maximum fines, toughening suspensions

Trader at computer screen

Regulators to boost fee transparency, explore enhanced retail access

Crypto platforms get until Oct. 31 to meet CSA's interim rules

online investing

Broker conflicts, finfluencers, gamification among regulators' priorities

Silhouette of man at sunset

Expanding access to advice, standardizing KYC data collection on SRO's agenda

gavel

Audit regulator hits KPMG's Dutch division with record US$25-million fine

Trader screen

Regulator aims to ease asset managers' access to investment research