Compliance

Regulation

MFDA sanctions fund dealer

July 25, 2022 James Langton
Comment & Insight

Hard work for new SRO is just beginning

June 13, 2022 IE Staff
teamwork
Regulation

FCAC finds big banks make ‘inappropriate’ product recommendations

May 26, 2022 James Langton
A side view of a curly fancy businessman in a formal suit using an outdoor cash dispenser to withdraw money from his account, with a copy space place on the left for your text or logo (A side view of a curly fancy businessman in a formal suit using an
Regulation

Cloud outsourcing poses systemic risk

May 12, 2022 James Langton
Regulation

UBS settles with MX

May 11, 2022 James Langton
Montreal stock exchange tower against a clear blue sky.
David Reeve

Leveraging compliance to grow your assets

April 22, 2022 David Reeve
Wooden blocks with percentage sign and arrow up, financial growth, interest rate increase, inflation concept
Regulation

Trading apps, finfluencers, crypto to face SEC scrutiny

March 31, 2022 James Langton
reddit icon
Regulation

Life agent compliance found wanting: FSRA

March 29, 2022 James Langton
Regulation

FCA flames firm’s finfluencer efforts

February 11, 2022 James Langton
social media
Regulation

ESMA to examine funds’ valuation practices

January 20, 2022 James Langton
a man on a precipice
Industry

OSC targets shrinking shelves, tied selling

December 13, 2021 James Langton
target group
The Canadian Derivatives Institute

Fund administrator: Understanding this essential support role

December 3, 2021 The Canadian Derivatives Institute