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Red alert

Regulator seeks to address concerns about client over-concentration

meeting room interior with table, raw of chairs and block-notes,decorated in black and white tones

Two openings on distribution issues committee

compliance puzzle

Regulators harmonize exemptions and enhance disclosure requirements

gavel on a laptop

OSC publishes guide for online proceedings

gavel

Office of the Secretary will make alternate arrangements for hearings up until December

  • By: IE Staff
  • July 31, 2020 July 31, 2020
  • 15:47
rules and regulations written on folder

The order was issued in response to the effects of Covid-19 on small businesses

  • By: IE Staff
  • July 30, 2020 July 30, 2020
  • 15:24
Cropped shot of a cheerful elderly woman hugging her husband who's in a wheelchair at home during the day

The CSA framework is an important first step, but more details are required, writes the vice president of IIAC

Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizing profits for large business organizations. (Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizin

Federal financial regulator to consult on content and pace of policy plans

United States Federal Reserve System symbol

Proposal would boost reporting threshold from US$100 million to US$3.5 billion

  • July 10, 2020 July 10, 2020
  • 17:11
Compliance Rules Law Regulation Policy Business Technology concept.

Effective compliance measures mean you’re less likely to lose clients