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Keyword: regulation

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Hi-tech technological background with numbers and calculations

The European regulatory guidance focuses on systems and internal controls

We made a deal. Close up of arms of successful two business partners shaking hands. They are sitting at the table near documents in cafe. The businessman and woman are drinking coffee

Agreement aims to bolster investor protection and maintain market confidence

Banking on a holistic approach

Sectoral buffer could be used to address a bank's exposure to specific risks

businesswoman thinking

Advisors can deliver better outcomes for their clients by getting ahead of their regulatory obligations

  • By: Susan Silma
  • November 20, 2019 November 20, 2019
  • 14:59

The Securities Proceedings Advisory Committee provides advice on policy and procedural initiatives

Advisor exams uncover cybersecurity deficiencies: NASAA

Firms must report breaches within three days

smiling young couple shaking hands with investment advisor

Details are few, but flexibility is a key theme

Deal will allow businesses in Canada and Singapore to access new regulated markets

open door business

Hugo Lacroix had been serving as interim superintendent for securities markets since January

Compliance Rules Law Regulation Policy Business Technology concept.

Firms spent over US$1 billion on regtech last year