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Policy action may be needed to ensure resilience, European regulators say

UBS Financial Service office in 1285 6th Ave, new york. UBS AG is a Swiss global financial services company, One of big financial company in the world

Firm settled allegations involving unapproved electronic access

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As the province adjusts to titles regulation, we look at Quebec’s experience


BCSC compliance reviews find CRM2 failings alongside registration and marketing gaffes

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Ontario's regulator is expanding oversight reviews after a pilot effort found widespread shortcomings

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Dealers must prepare for ongoing CFR reviews and expiring pandemic exemptions, priorities report says

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Paid ads on social media put vulnerable customers at risk, FCA says

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Fintech partners are helping advisors manage investments, planning and compliance

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European regulators will focus on fund managers that invest in illiquid assets

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The SRO provides clarity ahead of new year-end requirements, noting how products, fees and even ESG should be discussed