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confused man

Compliance sweep uncovers issues with identifying, disclosing and managing conflicts of interest, including conflicted compensation

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Small, straightforward tech solutions can have big payoffs, OSC TestLab finds

online comments

Protect yourself by creating a robust client communication trail


Online brokerage firm fined for compliance issues related to complaints, options approvals

cyber space with hexadecimal code as digital background

Regulators' actions show that code is not above the law

old way, new way

No matter where you are in your career, compliance requirements are a must

Partners discussing new plans

Regulator's reviews uncover shortcomings in brokers' Reg BI compliance

Bitcoin in the hands of a child. The boy holds a metal coin of crypto currency in his hands.

U.S., European authorities take down Bitzlato platform

Brooklyn Bridge and the downtown Manhattan skyline in New York City

Deal with New York regulator addresses crypto platform's compliance failings

angry client meeting

At FP Canada's annual conference, Bessner outlined red flags to identify and mitigate