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Keyword: Compliance

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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

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

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

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