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Keyword: Regulation

864 results found
Financial District of London and the Tower Bridge

Conservatives to relax rules separating investment banking from retail operations

Business people working in a conference room

Proposals include increasing the limit on claims and publishing arbitration decisions

Gavel

The panel imposed $1.1 million in penalties and $400,000 in disgorgement over a fuel-cell scheme

Montreal Skyline in winter and Commemorative Jacques Cartier plaque located on the balustrade of the Kondiaronk lookout on Mount Royal

Trade group calls on provincial finance minister to review fund dealer oversight

Ontario Queen's Park Legislative Building

Cowan replaces Heather Zordel, who resigned last month

  • By: Staff
  • November 30, 2022 November 30, 2022
  • 17:10
Stack of money coins, Little tree Glowing with account book finance for background. banking concept in growth, step by step for success in startup business

The regulators concluded that some incentive practices may present risks to the fair treatment of customers

  • By: Staff
  • November 30, 2022 November 30, 2022
  • 15:52
Multi-Ethnic group of students with laptop in campus - Soft sunset Light

IOSCO report recommends practices for investor protection and education during a crisis

  • By: Staff
  • November 30, 2022 November 30, 2022
  • 12:17

Proposal would eliminate regulatory arbitrage between seg funds and mutual funds

Stack of cryptocurrencies in a circle on the motherboard

OSFI, FCAC, CDIC call out firms' conduct, prudential responsibilities

Stack of cryptocurrencies in a circle on the motherboard

FINRA seeks information on firms' recent crypto-related communications