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Keyword: Regulation

493 results found
Lawyer

The violation involved using 'soft dollars' to develop in-house software

Man writing on a blackboard

Regulator may outsource task of accrediting CE activity to third-party firms

  • By: Staff
  • July 19, 2019 July 19, 2019
  • 16:48
Background of Canadian money: 5,10,20,50,100 dollar bills and coins, loonie, toonie, quarter, dime, nickel, penny

A paper sets out a proposed framework for categorizing smaller banks

  • By: Staff
  • July 11, 2019 July 11, 2019
  • 12:45
Lawyer

Among other concerns, FAIR Canada notes the offenders would not be publicly identified

Young business woman suffering stress working at office computer

Decision takes effect immediately

  • By: Staff
  • June 27, 2019 June 27, 2019
  • 13:07
Connections system sphere global world view on city background 3D rendering

Regulators should engage with a broader group of players, including tech-sector firms, FSB says

  • By: Staff
  • June 6, 2019 June 6, 2019
  • 11:53
fintech icon on abstract financial technology background represent Blockchain and Fintech Investment Financial Internet Technology Concept

SEC says digital coins offered by Kik Interactive of Kitchener, Ont., should have been registered as securities

  • By: Staff
  • June 4, 2019 June 5, 2019
  • 14:11
Bitcoin, Litecoin and Ethereum

Consultation paper outlines regulatory issues such as safeguarding investors' assets and dealing with conflicts of interest

  • By: Staff
  • May 28, 2019 June 27, 2019
  • 12:14
Gavel

Firm was suspended in 2015

  • By: Staff
  • May 28, 2019 June 27, 2019
  • 11:28
Trouble ahead, Businessman with umbrella standing in front of stormy clouds

The global body is seeking feedback on regulations for firms deemed too big to fail

  • By: Staff
  • May 23, 2019 May 23, 2019
  • 11:03