According to the settlement, the firm has taken action to correct the supervisory issues
The proposals affect disclosure requirements and facilitate online compliance
The new procedure will be in effect Dec. 1 if it receives ministerial approval
Regulator wants firms to assess their FX oversight following settlements with TD and RBC
The traders disclosed detailed information about customer orders in online chatrooms, the regulator says
Wells Asset Management System voluntarily ended its registration, the ASC says
The guidance aims to help firms identify and engage appropriate consultants
The "plain language" version will replace existing rules on June 1, 2020
The firm settled the case without admitting or denying the allegations
Man used falsified documents to apply for a personal line of credit