Compliance

News

Ontario promises MGA licensing

October 30, 2024 James Langton
Oversight direction
News

Retail investors vulnerable to greenwashing: OSC

October 30, 2024 James Langton
Greenwashing ESG
News

Women welcome on boards, scarce in C-suites

October 30, 2024 James Langton
From the Regulators

Why a rise in reported bullying at U.K. banks may be positive

October 25, 2024 James Langton
Big Ben
From the Regulators

Metaverse poses challenges to securities industry

October 24, 2024 James Langton
Two businesswoman using virtual reality glasses at new office to enter the metaverse stock photo
From the Regulators

Royal settles the case of the missing RESP grants

October 23, 2024 James Langton
Judge looks at papers
From the Regulators

Lawyers vulnerable to money launderers: FINTRAC

October 23, 2024 James Langton
Laundering money
From the Regulators

FINRA tightens rules around client lending

October 23, 2024 James Langton
right or wrong choice
From the Regulators

ESG ETFs failed to screen out sin stocks, SEC alleges

October 22, 2024 James Langton
ESG investing
News

SEC targets brokers’ best interests compliance

October 21, 2024 James Langton
Inspecting papers
News

CIRO revisits returning money to harmed investors

October 21, 2024 James Langton
investor restitution challenges
News

CIRO unveils next wave of rule consolidation

October 17, 2024 James Langton
new rules