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Keyword: Mobile applications and devices

165 results found
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

Rating agencies settle SEC texting charges

Firms failed to capture employees' private texts, WhatsApp chats

rules and regulations

TD, RBC sanctioned by U.S. regulators

Firms charged over unapproved off-channel communications

Trading games drive heavier, riskier activity: FCA

Younger, female, low-literacy investors are particularly vulnerable to digital tactics, study shows

Rep fined, banned in CIRO settlement

Former rep admitted to misappropriation

Brokerage app Webull launches in Canada

Discount brokerage offers Canadian and U.S. equities

Crypto money

U.K.’s FCA issues guidance on new crypto rules

Regulator aims to facilitate compliance with new regime

Stealing money

Former rep fined, banned by CIRO

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

Dispute at desk

SEC targets best-interest rules in broker reviews

Regulator's exam division sets compliance priorities for 2024

Using phone for finances

SEC, CFTC hit delete on firms’ WhatsApp, texting

Another 10 firms sanctioned for extensive recordkeeping violations

BMO, Wall Street firms sanctioned for app violations

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