Home James Langton

Guidance aims to allow more tailored setups for compliance officers

  • July 2, 2020 July 2, 2020
  • 13:08

NASAA aids states in developing victim assistance funds

  • July 2, 2020 July 2, 2020
  • 13:06

Firm has compensated clients, enhanced compliance

  • July 2, 2020 July 2, 2020
  • 10:16

Strong secondary offering activity outpaced a weak IPO market

  • June 30, 2020 June 30, 2020
  • 17:26

Debt issuance surges as the economy crumbles

  • June 30, 2020 June 30, 2020
  • 17:05

Pandemic pressure on provincial finances drives the shift

  • June 30, 2020 June 30, 2020
  • 16:16

Woman pleaded guilty to violating BCSC prohibition

  • June 30, 2020 June 30, 2020
  • 15:59

Mixed reaction as DOL seeks to harmonize with SEC rules on broker conduct

  • June 30, 2020 June 30, 2020
  • 15:03

FCA research finds sharp jump in consumers trading cryptoassets

  • June 30, 2020 June 30, 2020
  • 13:35

Maureen Jensen will serve as a public governor for the U.S. SRO

  • June 30, 2020 June 30, 2020
  • 13:26