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Keyword: Compliance

448 results found
guidelines and regulations binders

U.S. brokers need work on best interest compliance

Firms make token effort to raise standards, cling to suitability, NASAA finds

Mid-year blackboard

Advisors renew complaints about client account statements

Performance gains in 2022 for the client account statements category peeled back in the 2023 Dealers’ Report Card

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

BCSC sanctions sales-rule violations

Former firm provided reps with improper incentives, regulator alleged

Whistleblower

Tipster gets US$18-million SEC award

Whistleblower first reported suspected misconduct internally, regulator said

Investment entities need to improve disclosure practices: CSA

SEC ramps up hedge fund regulation

New rules aim to improve transparency, investor protection in private fund market

Follow the leader

SEC expands FINRA’s jurisdiction

New rule sharply narrows prop traders' SRO exemption

Judge's gavel

U.S. reaches deal on broker’s shady trading

Nomura Securities agrees to trading misconduct penalties in non-prosecution agreement

compliance

Ontario seeks to expand OSC sanctions spending

Proposal would allow enforcement money to be used for IT projects and new innovation office

Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizing profits for large business organizations. (Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizin

FSRA finalizes credit unions’ operational guidance

Regulator supports firms' efforts to address ESG risks

Bond counselling

FSRA details oversight for planner and advisor titles

Regulator sets supervisory priorities for credential providers