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Keyword: Regulation

525 results found
Whistle blower or whistleblower

After June 30 implementation, FINRA will start reviewing firms' best interest compliance

Title regulation started, a DSC ban stalled (and started again), and changes are coming at credentialing bodies

  • By: Staff
  • December 23, 2019 December 24, 2019
  • 12:00
stack of documents or files, overload of paperwork on black background

In a submission, the industry group said investor disclosure documents have made the existing regime redundant

Closeup receipts in paper nail

Lack of regulations means anything goes

gavel

SEC also enjoyed a record level of co-operation in its enforcement efforts

Gavel

The ASC said the advisor continued serving clients after her registration had been suspended

  • By: Staff
  • November 19, 2019 November 19, 2019
  • 13:31
Notepads

Proposed rules may put OBSI in a position where it's viewed as having a regulatory function, a letter warns

Digital World

Canadian insurers will continue to be subject to existing capital rules

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

The government is obligated to review securities regulations every five years. The last review was in 2003.

Communication network concept. Multiple exposure.

Greenwich Associates reports that U.S. firms spent US$1 billion on regtech last year