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Keyword: Regulatory

1090 results found
Abstract,Golden Bitcoin money on computer.

3iQ is asking the regulator to overturn its decision not to approve the fund

  • By: Staff
  • March 21, 2019 March 21, 2019
  • 14:58
Close up of human hands using virtual panel

A new report challenges policymakers to act swiftly

  • By: Staff
  • March 21, 2019 March 21, 2019
  • 12:54
Gavel

Proposed changes would allow MFDA investigators to enter a dealer's offices without notice and copy electronic records

  • By: Staff
  • March 21, 2019 March 21, 2019
  • 12:13
Stack of cryptocurrencies in a circle on the motherboard

The fund manager says it faced tougher standards than other investment firms

  • By: Staff
  • March 19, 2019 March 19, 2019
  • 11:15
business documents on office table with smart phone and digital tablet and graph business with social network diagram and man working in the background

The regulator outlined the types of incidents that must reported, and what reports should include

  • By: Staff
  • March 15, 2019 March 15, 2019
  • 13:40
Lawyer

Volkswagen settled with the U.S. over criminal and civil charges in diesel emissions scandal two years ago

Business people working in a conference room

Amendments would increase the size of its governance committee and the term limits for directors

  • By: Staff
  • March 14, 2019 March 14, 2019
  • 16:30
Financial graph on technology abstract background

The CSA cites misconduct involving benchmarks in other markets

  • By: Staff
  • March 14, 2019 March 14, 2019
  • 15:23
Abstract,Golden Bitcoin money on computer.

The framework is tailored to the unique characteristics of the crypto market

  • By: Staff
  • March 14, 2019 March 14, 2019
  • 13:31
calculating numbers for income tax return with glasses pen and calculator

The U.K. regulator is looking at banning or capping exit fees

  • By: Staff
  • March 14, 2019 March 14, 2019
  • 12:04