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Keyword: Regulatory fees

46 results found
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Fees to rise for most firms as minimums go up, certain dealers pay higher share

Bitcoin cyptocurrency

Regulator adopts new charges to cover added costs on overseeing crypto sector

right or wrong choice

Improved proficiency for financial advisors still on the table amid persistent demand

magnifying glass

Firms are puzzling out how to balance significant overhead costs with advisor support

  • By: Katie Keir
  • November 21, 2023 November 21, 2023
  • 10:10
crypto currency regulation

Added costs of registering crypto platforms drives new tariffs

Dispute at desk

Banks to bear the brunt of fee increase, as case volumes jump

Wooden blocks with percentage sign and arrow up, financial growth, interest rate increase, inflation concept

Fees for investment dealers to rise 6.4%, annual report says

new label

The rule includes the regulator's fee calculations for credentialing bodies

  • By: IE Staff
  • September 19, 2023 September 19, 2023
  • 16:29

Proposal would allow enforcement money to be used for IT projects and new innovation office

A man removing interlocking pieces from a large stack

Integrating the SROs' compliance and enforcement functions is a top priority alongside policy work