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Compliance
Compliance
From the Regulators
ESMA consults on crypto guidance
January 29, 2024
James Langton
From the Regulators
Rep fined, banned in CIRO settlement
January 29, 2024
James Langton
News
Small firms need living wills: OSC
January 26, 2024
James Langton
From the Regulators
SEC tightens the screws on SPACs
January 24, 2024
James Langton
News
Most crypto communications may be offside: FINRA
January 23, 2024
James Langton
News
Financial firms lead rise in class action payouts
January 19, 2024
James Langton
Research and Markets
Quantum security threat to cost financial firms
January 12, 2024
James Langton
From the Regulators
European regulators to review pre-trade controls adopted to prevent flash crashes
January 11, 2024
James Langton
From the Regulators
FINRA reveals evolving compliance threats
January 9, 2024
James Langton
News
FSRA tightens the screws on seg fund DSCs
January 9, 2024
James Langton
From the Regulators
CIRO fines Canaccord Genuity Corp. $500K for trading supervision failures
December 28, 2023
The Canadian Press, IE Staff
Regulation
CIRO sanctions dealer’s supervisory lapses
December 21, 2023
James Langton
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