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Keyword: Compliance

368 results found
Trouble ahead, Businessman with umbrella standing in front of stormy clouds

Both the FCA and SEC are grappling with the effects of the outbreak

gavel on a wooden bench

Two Wells Fargo firms are paying the SEC US$35 million

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

The SRO wants to make sure firms’ client reporting is accurate

Wolf In Sheeps Clothing seamless Background, wolf dressed in sheep fleece hiding out in the flock

The SEC has collectively awarded US$387 to 72 people since 2012

Whistle blower or whistleblower

After June 30 implementation, FINRA will start reviewing firms' best interest compliance

advisor client meeting

The SRO says it’s working on aligning its rules with the CFRs

A new report outlines 107 recommendations aimed at reducing the regulatory burden

Communication network concept. Multiple exposure.

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

Connections system sphere global world view on city background 3D rendering

They're joining the Global Financial Innovation Network

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