Home Regulation

Keyword: Regulation

705 results found
Business people working in a conference room

Senior industry compliance and operations experts are wanted for a regulatory advisory committee

  • By: Staff
  • July 21, 2021 July 21, 2021
  • 12:25
dry environment

The FCA said poor product design and disclosure risks undermining investors' trust


The US$8.1-million settlement will be distributed to harmed investors

Stock Quotes as graphs and tables with magnifier and calculator in panoramic format

Greater transparency could help investors and improve audit quality

Amid concerns about consumer harm, the regulator has backed away from a plan to allow incentives

Stack of cryptocurrencies in a circle on the motherboard

The federal regulator is seeking feedback on the design of a prudential regime for digital assets

Advisor meeting with clients

Regulators are granting relief from certain CFR requirements to allow DSC sales until a ban takes effect


New rules increase maximum limits for issuers and investors

Lawyer writing in legal book

Securities regulators ordered more than $42 million in restitution, compensation and disgorgement

stack of documents or files, overload of paperwork on black background

Revisions to accommodate a new accounting standard are due in 2023