Game-like trading apps and Reg BI top the U.S. SRO's compliance exam agenda
Regulators to examine manufacturer, dealer compliance with new requirements
Spike in trading spells scrutiny for brokerage firms
Effective mechanisms would promote consumer confidence, the global regulators say
Advocates, academics and regulators advise against expanding private market access
The proposal would impact claims management companies, which act as intermediaries
Executive director says funding will provide stability for the organization
More than 40% of parents say the pandemic has hindered their ability to save
The Investor Advisory Panel will require new members over the coming year
Walied Soliman, chair of the Ontario Capital Markets Modernization Taskforce, offered a preview of the task force’s final report on Wednesday