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Keyword: regulation

659 results found
Bond counselling

Investor survey highlights risks of confusion over titles and proficiency

investor protection

Regulators propose long-awaited reforms to enhance industry dispute-resolution system

Coin pile

FCA to require companies to set aside capital for investor redress

Magnifying glass

Firms are reporting increased compliance costs as they respond to ESG guidance and regulatory "sweeps"

Saskatchewan legislative assembly

Proposed legislation aims to boost investor protection

low yield investment

Regulator's compliance reviews find issues with performance reporting

Skyline of the financial district

The FSB's annual list of banks that require extra capital and oversight shrank by one

fintech and blockchain icons on financial technology background

Industry working group proposes model for blockchain-based funds

Advisor tracking stocks

Assets drop as mutual funds remain in redemptions, ETFs stay positive

Bitcoin cyptocurrency

Crypto platform promises to fight regulator's charges