Home Compliance

Keyword: Compliance

358 results found
court gavel regulatory

According to the settlement, the firm has taken action to correct the supervisory issues

  • By: Staff
  • September 13, 2019 September 13, 2019
  • 17:19
File

The proposals affect disclosure requirements and facilitate online compliance

stack of documents or files, overload of paperwork on black background

The new procedure will be in effect Dec. 1 if it receives ministerial approval

  • By: Staff
  • September 12, 2019 September 12, 2019
  • 10:55
File

Regulator wants firms to assess their FX oversight following settlements with TD and RBC

courtroom gavel

The traders disclosed detailed information about customer orders in online chatrooms, the regulator says

stack of documents or files, overload of paperwork on black background

Wells Asset Management System voluntarily ended its registration, the ASC says

  • By: Staff
  • August 26, 2019 August 26, 2019
  • 12:25
File

The guidance aims to help firms identify and engage appropriate consultants

  • By: Staff
  • August 22, 2019 August 22, 2019
  • 13:44
stack of documents or files, overload of paperwork on black background

The "plain language" version will replace existing rules on June 1, 2020

scales of justice

The firm settled the case without admitting or denying the allegations

  • By: Staff
  • August 14, 2019 August 14, 2019
  • 14:54
courtroom gavel

Man used falsified documents to apply for a personal line of credit

  • By: Staff
  • July 25, 2019 July 25, 2019
  • 11:54