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Keyword: Securities regulations

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United States Capitol, Washington DC

The choice for SEC chair signals a more activist role after a deregulatory stretch during the Trump administration


The bank was fined £26 million and paid £273 million in redress to customers

business people standing in line under a magnifying glass

The regulator is introducing a new framework for ensuring that funds properly value their assets

Modern urban skyscrapers in downtown Chicago from below to the blue summer sky. Sun reflecting in the glass facades of the urban futuristic buildings. Chicago, Illinois, USA

Executive director says funding will provide stability for the organization

investment concept

The regulator proposes to allow companies to pay up to 15% of annual pay in securities

Young business people in board room meeting at the office

Proposed exemption would allow non-accredited investors to self-certify their sophistication

Compliance Legal Rule Compliancy Conformity Concept

IIROC calls for added controls on inside information in remote-work environments

vintage microphones

Tim Moseley appointed to two-year term as vice-chair

closeup of sheet of paper filled with calculations with pencil

The organization is recognizing the education and skills that CFAs already possess

  • By: IE Staff
  • October 5, 2020 October 15, 2020
  • 11:40
Business People Meeting Discussion in a boardroom concept

Overlapping regulatory agendas will require constructive coordination

  • By: Ian Russell
  • September 23, 2020 September 23, 2020
  • 16:39