Compliance

News

Ontario budget voices support for OBSI reform

March 26, 2024 James Langton
Queen's Park, Ontario, Canada
News

FCA warns firms, finfluencers about misleading memes

March 26, 2024 James Langton
social media
News

FCA finds fault in firms’ retirement advice

March 20, 2024 James Langton
Retirees
News

CFRs, CE and cybersecurity among CIRO’s priorities for 2024

March 13, 2024 Melissa Shin
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
From the Regulators

U.S. DOJ plans to pay whistleblower awards

March 8, 2024 James Langton
Businessman Blowing Whistle Isolated on White Background
From the Regulators

CSA expands ESG guidance for investment funds

March 7, 2024 James Langton
ESG dividends
News

OSC sees executive suite shakeup

March 7, 2024 James Langton
People icon
News

AMF issues complaint handling rules

February 28, 2024 James Langton
From the Regulators

FCA promises faster, more transparent enforcement

February 27, 2024 James Langton
From the Regulators

Reforms for money market funds need work: FSB

February 27, 2024 James Langton
From the Regulators

SEC beefs up personal trading rules

February 23, 2024 James Langton
News

CSA issues guidance on virtual shareholder meetings

February 22, 2024 James Langton
woman working from home with her dog