Compliance

From the Regulators

CFRs, crypto firms top OSC compliance reviews

July 27, 2023 James Langton
From the Regulators

Portfolio manager settles KYC, suitability issues

July 27, 2023 James Langton
Judge looks at papers
From the Regulators

CIRO fines firm for retail compliance violations

July 24, 2023 James Langton
Judge's gavel with magnifying glass on black.
From the Regulators

UBS sanctioned for Credit Suisse’s Archegos failures

July 24, 2023 James Langton
From the Regulators

FSB sets final global crypto rules

July 17, 2023 James Langton
Crypto money
From the Regulators

FCA takes on the finfluencers

July 17, 2023 James Langton
social media
From the Regulators

MX settles over firm’s supervisory weaknesses

July 17, 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
News

So far so good for crypto funds, but CSA flags risks

July 6, 2023 James Langton
Crypto coins
From the Regulators

FINRA revises remote work rules

July 4, 2023 James Langton
woman sitting at laptop
News

Former life agent fined for client servicing scheme

June 23, 2023 James Langton
News

CIRO details suspended firm’s capital troubles

June 22, 2023 James Langton
News

Coinbase, Binance pain could be crypto sector’s gain

June 12, 2023 James Langton
Bitcoin cyptocurrency