New firm failed to adequately review trading, client comms, SRO alleged
Policy recommendations and guidance aim to improve liquidity risk management
Initiative addresses rise of finfluencers, digital engagement, social trading
Agreement between Ontario and Hong Kong aims to ease market access
Regulator uncovered compliance issues, including dealings with Iran
Industry calls for technology-neutral approach to regulating sector
FINRA highlights need to revise rules to match current technology
U.K. regulator's review IDs weaknesses in high-risk product sales, conflicts and conduct standards
Policymakers are seeking to make it easier for companies to go public
OSC research finds AI discussions in MD&A growing, more balanced