Compliance

When does poor service become a regulatory issue for online brokerages?

IIROC also is looking at retail complaints and disgorgement, among other SRO priorities

By James Langton |May 28, 2021

2 min read

Easing into new virtual currency reporting rules

FINTRAC's compliance exams won't start until April 2022

By James Langton |May 18, 2021

1 min read

FCA seeks consumer duty standards

Citing continued consumer harm and a lack of trust, regulator plans tougher consumer protection requirements

By James Langton |May 14, 2021

2 min read

Tall tales on social media complicate activist short-selling review

A CSA consultation has become more interesting after the GameStop saga

By Mark Burgess |May 11, 2021

11 min read