Compliance

News

SEC ramps up hedge fund regulation

August 23, 2023 James Langton
Investment entities need to improve disclosure practices: CSA
News

SEC expands FINRA’s jurisdiction

August 23, 2023 James Langton
Follow the leader
News

U.S. reaches deal on broker’s shady trading

August 23, 2023 James Langton
Judge's gavel
News

Ontario seeks to expand OSC sanctions spending

August 22, 2023 James Langton
compliance
From the Regulators

FSRA finalizes credit unions’ operational guidance

August 18, 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
News

FSRA details oversight for planner and advisor titles

August 10, 2023 James Langton
Bond counselling
Research and Markets

The promise and perils of “smart” contracts

August 10, 2023 James Langton
From the Regulators

BMO, Wall Street firms sanctioned for app violations

August 8, 2023 James Langton
From the Regulators

New FCA regime good for clients, tough on firms

August 3, 2023 James Langton
Old and new sign
From the Regulators

Most firms falling short in conflict compliance

August 3, 2023 James Langton
Blackboard rating
From the Regulators

Regulators say advisor awards based on production may mislead clients

August 1, 2023 James Langton
News

SEC flags brokers’ failures on money laundering

July 31, 2023 James Langton