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Keyword: Regulatory reform

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Row of business people listening to presentation at seminar

Regulators require internal compliance expertise

  • By: Ian Russell
  • September 26, 2022 September 26, 2022
  • 15:00
Modern Keyboard Button with Vote Icon - Online Voting and Election Concept

Dealers will vote Sept. 29 on the fate of the IIROC-MFDA merger

Financial stock exchange market display screen board on the street

Proposals to boost central clearing, would curb systemic risk, report says

Close up of businessman hands making handshake - greeting, dealing, merger and acquisition concepts

Cited risks from collaboration with industry are unfounded, writes Paul Bourque

mature couple at home meeting with financial advisor

New designation approved by FSRA has requirements very similar to those of SROs

closeup of on table in empty corporate conference room

Regulators to prep industry for forthcoming conduct regime

new rules

Proposal sets tougher independence requirements for boards and committees

Legal, operational issues may arise with loans as key benchmark is eliminated

Entrance to the U.S. Commodity Futures Trading Commission (CFTC) on their headquarters building in Washington; CFTC is an agency of the US government.

U.S. senate bill would give CFTC oversight of digital commodities

Financial stock exchange market display screen board on the street

As U.S. industry releases plan, Canadian firms' readiness lags