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Keyword: Compliance

345 results found

The change will result in more than $700K of savings for registrants

  • By: Staff
  • May 15, 2019 May 15, 2019
  • 14:51
Career burden and business stress concept as a businessman or worker pulling a giant heavy metal anchor as a metaphor for hardship and strugge with taxes or oppression.

A special advisor to the commission shares what the OSC might change

Difficult choices of a businessman due to crisis

An expert describes common allegations against advisors

Lawyer

The program would deal with cases that don't warrant a formal disciplinary proceeding

Gavel

Regulator alleges firm failed to provide clients with position cost information in account statements

  • By: Staff
  • April 16, 2019 April 16, 2019
  • 15:12
Gavel

Failure to cooperate with the investigation was an aggravating factor

  • By: Staff
  • April 15, 2019 April 15, 2019
  • 09:59
photo of hands holding pen under document and pressing calculator buttons

Association says investment firms face a number of compliance challenges

  • By: Staff
  • April 11, 2019 April 11, 2019
  • 16:00
Seedlings, close up

Moody's estimates the new EU requirements will add between 0.25% and 2.0% to firms’ costs

  • By: Staff
  • March 14, 2019 March 14, 2019
  • 16:22
Gavel

The lawyer failed to identify that a former client was allegedly engaging in a market manipulation

  • By: Staff
  • March 11, 2019 March 11, 2019
  • 15:30
Lawyer

The former rep took advantage of a widow, the panel found