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Keyword: Compliance

403 results found
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AMF seeks to enhance financial industry complaint handling

Proposal would harmonize standards throughout Quebec's financial sector

Stacking cubes

CFRs, crypto, online advice top OSC’s compliance agenda

Annual report from OSC compliance branch signals exam targets for the year ahead

File

When does poor service become a regulatory issue for online brokerages?

IIROC also is looking at retail complaints and disgorgement, among other SRO priorities

Bitcoin, Litecoin and Ethereum

Easing into new virtual currency reporting rules

FINTRAC's compliance exams won't start until April 2022

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FCA seeks consumer duty standards

Citing continued consumer harm and a lack of trust, regulator plans tougher consumer protection requirements

GameStop

Tall tales on social media complicate activist short-selling review

A CSA consultation has become more interesting after the GameStop saga

Portrait of young couple working with financial advisor while smiling and sitting on assistance workplace

IIROC to issue guidance on CFRs, plain-language rulebook

Firms can expect additional guidance relating to KYC and suitability obligations

courtroom gavel

FINRA tackles the problem of repeat offenders

SRO adopts rule changes to enhance investor protection

Maze and businessmen, miniature,

CSA urges Ontario to prioritize harmonization, join passport system

The group of regulators penned a letter that warns unilateral Ontario reforms could hurt harmonization

File

Investor advocates give Ontario task force report mixed reviews

FAIR Canada supports tougher investor protection measures, but questions other proposals