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Keyword: Regulatory

1692 results found
Court gavel

Agents benefit from independent contractor status, undermining proposed lawsuit seeking employment benefits

Jigsaw Puzzle on Blue background

Integrating the SROs' compliance and enforcement functions is a top priority alongside policy work

Data transfer is taking longer than planned

Close up of a woman using a laptop

Without open banking, Canadians' data is at greater risk when they use unregulated apps

Portrait of confused businessperson thinking of innovative idea at grey wall.

Compliance sweep uncovers issues with identifying, disclosing and managing conflicts of interest, including conflicted compensation

Demonstrate and discuss your regulatory requirements with clients, IFB says

Business people working in a conference room

Management group no longer ruling out individual asset sales

Wooden gavel used by a judge or auctioneer

Deal resolves claims over mortgage prepayment charges

  • By: Staff
  • May 8, 2023 May 8, 2023
  • 14:04
Checking monthly activities and appointments at the office

As LIBOR ends, regulators cut firms some slack

Online vote

Firms will have until Dec. 31, 2024, to adopt the name and logo on required disclosures