Educational division will develop technical curriculum under Alexandra Macqueen's leadership
Protect yourself by creating a robust client communication trail
Toni Ferrari draws on her background in accounting, regulation and compliance to lead the re-formed Canadian Investor Protection Fund
Despite risks, lure of flows, revenues expected to keep managers keen on green funds: Fitch
Online brokerage firm fined for compliance issues related to complaints, options approvals
WealthOne paid $676,500 penalty amid compliance lapses
Regulator confirms enforcement inquiry into extended LME closure
Regulator proposes principles-based guidance on firms' culture
Regulator says shells face same compliance obligations as other public companies
Regulators stiffen investor protection expectations in the wake of high-profile crypto failures