Long-term funds recorded $4.35 billion in net sales in January
This year’s compliance exams will focus on suitability and KYC issues as well as the new cost and performance reporting requirements under CRM2
Many jurisdictions consider their rules for investment funds sufficient to address loan funds
Regulators in Ontario and the U.K. are aiming to ease the path for fintech firms to expand to each other’s markets
Blockchain Intelligence Group focuses on data analytics and risk assessment
But the total number of donors and the proportion of taxpayers claiming charitable donations declined slightly, the national statistics agency reports
Weaknesses among firms leave the financial sector vulnerable to abuse by financial criminals
An agreement between U.S. state and federal securities regulators intends to ensure crowdfunding exemptions are enabling access to capital
The group will soon create an industry advisory group to gain insights on regulatory issues and get feedback on rule proposals and guidance
Richard Lian and Enna Keller raised US$3.2 million from investors by selling securities in a company subject to a cease-trade order