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Keyword: Compliance

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Communication network concept. Multiple exposure.

Greenwich Associates reports that U.S. firms spent US$1 billion on regtech last year

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They're joining the Global Financial Innovation Network

A Tax Court judge found the CRA was overzealous in issuing a penalty for late filing

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

  • By: Staff
  • September 13, 2019 September 13, 2019
  • 17:19
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The proposals affect disclosure requirements and facilitate online compliance

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

  • By: Staff
  • September 12, 2019 September 12, 2019
  • 10:55
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Regulator wants firms to assess their FX oversight following settlements with TD and RBC

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

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

  • By: Staff
  • August 26, 2019 August 26, 2019
  • 12:25
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The guidance aims to help firms identify and engage appropriate consultants

  • By: Staff
  • August 22, 2019 August 22, 2019
  • 13:44