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Keyword: Mobile applications and devices

162 results found
Closeup of mallet being hit on stacked coins at table in courtroom

Former rep admitted to misappropriation

Womens hand using mobile phone on the bokeh background

Discount brokerage offers Canadian and U.S. equities

Crypto money

Regulator aims to facilitate compliance with new regime

Stealing money

Ex-NBF rep admitted to misappropriating clients' funds, as well as other violations

Dispute at desk

Regulator's exam division sets compliance priorities for 2024

Using phone for finances

Another 10 firms sanctioned for extensive recordkeeping violations

Womens hand using mobile phone on the bokeh background

Regulators fined firms a total US$549 million for record-keeping failures

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Firm fined for operational failures, service and supervisory issues

magnifying glass

Conduct standards, crypto and cybersecurity feature in exam plans for 2023

Diverse group of four adult men and women laughing while standing close together around a tablet computer

Younger demographic has different investing habits and preferences, FINRA research finds