Compliance

News

SEC, CFTC hit delete on firms’ WhatsApp, texting

September 29, 2023 James Langton
Using phone for finances
From the Regulators

CSA finalizes derivatives conduct rules

September 28, 2023 James Langton
rules and regulations
David Reeve

Leverage compliance tech to grow your business

September 25, 2023 David Reeve
Shot of a group of young businesspeople using a laptop during a meeting in the boardroom of a modern office
From the Regulators

SEC sanctions Deutsche Bank for greenwashing, AML violations

September 25, 2023 James Langton
Fines graphic
From the Regulators

U.S. fund industry slams new SEC fund-name rules

September 20, 2023 James Langton
Inspecting papers
From the Regulators

NASAA details investment advisers’ compliance issues

September 11, 2023 James Langton
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

MX sanctions weak trading oversight

September 8, 2023 James Langton
A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t
From the Regulators

FCA offers crypto firms a little carrot, a bit of stick

September 7, 2023 James Langton
From the Regulators

U.S. brokers need work on best interest compliance

September 5, 2023 James Langton
Dealers’ Report Card

Advisors renew complaints about client account statements

August 28, 2023 Serge Rousskikh
Mid-year blackboard
From the Regulators

BCSC sanctions sales-rule violations

August 25, 2023 James Langton
A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t
From the Regulators

Tipster gets US$18-million SEC award

August 25, 2023 James Langton