Regulators seek whistleblower tips on short selling ahead of new offerings
FCNB consults on program to return lost money to rightful owners
OSC report details improvement, along with persistent compliance issues
Regulator seeks to address concerns about client over-concentration
Effective compliance measures mean you’re less likely to lose clients
Guidance aims to allow more tailored setups for compliance officers
Mark White, CEO of FSRA, discusses the regulator’s cuts to insurance guidance
The firm has teamed up with Toronto-based education provider Learnedly
Initial compliance exams will focus on firms' commitment to adopting new requirements
The U.S. SRO will charge fees for reporting Treasuries trades