Compliance

Regulation

Credit unions receive boosted conduct standards

November 29, 2021 James Langton
Modern office building close up in sunlight
Regulation

SEC finds pervasive problems at U.S. robos

November 12, 2021 James Langton
virtual regulation
Research and Markets

Financial firms spend big to avoid costly gaffes: Greenwich

October 5, 2021 James Langton
Industry

Stop putting off succession planning

September 24, 2021 Katie Keir
succession planning
Regulation

Many U.S. advisory firms lack vulnerable client policies

September 21, 2021 James Langton
papers on a desk
Industry

Client ID proposal raises industry ire

September 20, 2021 James Langton
unhappy
Regulation

Ontario regulator seeks feedback on life agent reporting requirements

September 9, 2021 IE Staff
Regulation

Regulators must face the rise of the machines

September 7, 2021 James Langton
Regulation

MFDA gets approval for client-focused reform rule amendments

September 3, 2021 Katie Keir
old way, new way
Regulation

New prospectus exemption will support small biz in the Prairies

September 1, 2021 IE Staff
plan idea
Regulation

FSRA met or exceeded most of its service targets in Q1

August 30, 2021 Katie Keir
rules and regulations
Regulation

CFRs, crypto, online advice top OSC’s compliance agenda

August 10, 2021 James Langton
plan idea