FCA fined, banned Jes Staley for misleading the regulator over relationship with disgraced financier
Deadlines for large investors to report portfolio changes cut under rule changes
AMF, provincial government approve delegation of powers to SRO
Regulators to marry changes to disclosure rules with electronic access
Undertaking doesn't preclude regulator's enforcement action, court finds
Firms not disclosing investments' negative ESG impact, Paris alignment
Another 10 firms sanctioned for extensive recordkeeping violations
Canada remained the last G20 country without conduct standards for OTC derivatives markets
Tech-assisted recommendations can improve client outcomes
The firm's U.S. advisory unit will pay US$25 million to resolve charges