Compliance

From the Regulators

CIRO seeks new securities lending rules

February 15, 2024 James Langton
rules and regulations
From the Regulators

BCSC funds FAIR Canada research on DIY investors

February 15, 2024 James Langton
From the Regulators

IOSCO consults on margin best practices

February 14, 2024 James Langton
Piles of coins
From the Regulators

FCA revs up its anti-hype machine

February 14, 2024 James Langton
Research and Markets

Shift to advice boosting brokers: Fitch

February 13, 2024 James Langton
client meeting
News

SEC sanctions brokers’ texting

February 9, 2024 James Langton
News

SEC, CFTC boost private funds’ reporting

February 8, 2024 James Langton
A person inside a financial maze made out of hedges.
News

New SEC dealer rule sparks concern

February 7, 2024 James Langton
People icon
News

FSRA tightens LLQP exam-taking process

February 7, 2024 James Langton
Cheater
News

FINRA revises arbitration rules

February 7, 2024 James Langton
right or wrong choice
News

Social media’s market manipulation risk

February 6, 2024 James Langton
social media
News

U.S. investor advocates take aim at RIA arbitration

February 2, 2024 James Langton