After June 30 implementation, FINRA will start reviewing firms' best interest compliance
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
Greenwich Associates reports that U.S. firms spent US$1 billion on regtech last year
They're joining the Global Financial Innovation Network
A Tax Court judge found the CRA was overzealous in issuing a penalty for late filing
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