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Keyword: Regulatory burden

63 results found
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Regulator reported a jump in filings in Q4

rules and regulations

Regulators expand list of qualifying courses to sell liquid alts

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The securities regulator has released its draft priorities for fiscal 2021-2022

  • By: IE Staff
  • November 16, 2020 November 16, 2020
  • 13:40
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Walied Soliman, chair of the Ontario Capital Markets Modernization Taskforce, offered a preview of the task force’s final report on Wednesday

rules and regulations

The revisions aim to reduce redundant requirements on trading venues

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Province considering whether to allow virtual document signing permanently and whether marriage should still revoke a will

Gavel and legal books

The umbrella group for North American securities regulators has identified 244 scams

  • By: IE Staff
  • August 21, 2020 August 21, 2020
  • 13:15
guidelines and regulations binders

The amendments are aimed at reducing regulatory burden without comprising investor protection

  • By: IE Staff
  • August 20, 2020 August 20, 2020
  • 13:40
Partners discussing new plans

SRO reform can lead to a better outcome for dealers and their clients

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The SRO staff's authority to rule on exemption applications has been extended