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Keyword: Securities regulations

556 results found
Tax inspection

The rule is pending review in the U.S. Court of Appeals for the Eighth Circuit

Hands in the air for questions

A year after an unprecedented cease-trade order, unitholders are still waiting for answers

Real assets

There are practical steps to take following the Emerge Canada saga

Green globe

Experts say companies are likely to prepare to comply anyway


The new Federation of Independent Dealers named its 2024 board leader and future focus

rules and regulations

Proposals aim to codify investor protections, enhance flexibility

lungern village in switzerland

Swiss financial regulator gets a new leader as it looks to boost scrutiny of the bank

vintage microphones

Leslie Byberg will oversee enforcement as the regulator looks for a new director

  • By: Katie Keir
  • January 23, 2024 January 23, 2024
  • 15:32
Horn speaker for public relations sign symbol, vintage color - sun with blue sky

Joanna Rotenberg leaves Fidelity Investments, plus other moves

  • By: Katie Keir
  • December 19, 2023 December 19, 2023
  • 16:53
finding your niche

Find ways to excel at the basics, panellists suggested at a CFA Society Toronto event

  • By: Katie Keir
  • December 7, 2023 December 7, 2023
  • 14:11