Compliance

From the Regulators

SEC sanctions investment firm’s NDAs

September 27, 2024 James Langton
Business lawyer team. Working together of lawyer in the meeting.
From the Regulators

CIBC chronically late with trade reporting: CFTC

September 25, 2024 James Langton
Late submission
News

CIBC, Canaccord get knuckles rapped by CFTC, SEC

September 24, 2024 James Langton
Gavel and Money - Canada stock photo
From the Regulators

CSA, CIRO pledge market structure reforms

September 20, 2024 James Langton
Adoption of big regulatory changes must avoid unintentional harm
From the Regulators

SEC sanctions adviser’s mismarking

September 19, 2024 James Langton
Judge looks at papers
News

BCSC bans unregistered crypto platform

September 17, 2024 James Langton
Judge looks at papers
From the Regulators

Pre-IPO schemes in U.S. authorities’ crosshairs

September 12, 2024 James Langton
Judge looks at papers
News

Hands off AI, SIFMA urges regulators

September 10, 2024 James Langton
Handshake between robot and human, AI generated image
News

Pension regulators unveil new guidance

September 10, 2024 James Langton
Hand putting Coins in glass jar with retro alarm clock for time to money saving for retirement
News

ASIC calls for distribution improvements

September 10, 2024 James Langton
The Australian Coat of Arms in metal hangs on the glass wall of a building that reflects another high-rise across the street.
From the Regulators

SEC tackles companies’ anti-whistleblower provisions

September 9, 2024 James Langton
Business lawyer team. Working together of lawyer in the meeting.
From the Regulators

Investors must be free to talk to regulators: SEC

September 4, 2024 James Langton
Judge looks at papers