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Keyword: Regulatory

1606 results found
Stack of cryptocurrencies in a circle on the motherboard

Supervisory colleges would help uncover and mitigate possible harm to investors

Regulator sanctions firm for anti–money laundering compliance violations

  • By: Staff
  • January 13, 2022 January 13, 2022
  • 15:20
photo of hands holding pen under document and pressing calculator buttons

The amendments give regulators access to audit work performed by foreign firms

  • By: Staff
  • January 13, 2022 January 13, 2022
  • 14:49
Solution

The MFDA's board approved both withdrawals at its meeting on Dec. 1.

multiracial business meeting in boardroom, sitting at a table

The new rule will come into force following ministerial approval

  • By: Staff
  • December 21, 2021 December 21, 2021
  • 14:13
Canadian and British Flags

Man who ran forex fraud scheme from the U.K. gets six years in prison

gavel on a wooden bench

Regulatory fine pales against firm's $32-million remediation plan

Lawyer writing in legal book

The SRO provides clarity ahead of new year-end requirements, noting how products, fees and even ESG should be discussed

photo of hands holding pen under document and pressing calculator buttons

The CSA made the change, among others, in its final amendments to registration reporting requirements

  • By: Staff
  • December 17, 2021 December 17, 2021
  • 09:19
arrow and the word "Change" with feet

Proposals aim to address liquidity and redemption issues from March 2020