Keyword: Regulatory

1373 results found
loudspeaker

Nominations for market reg and fixed-income committees due Aug. 21

Multiracial business meeting in boardroom, sitting at a table

Proposed reform includes binding authority, higher compensation limits

Bitcoin exchange to dollar rate on monitor display on July 2017 in NYC

Lessons can be learned from QuadrigaCX fraud

Individuality

A supervisor in the firm's Calgary office has also been sanctioned

File

New guidance says compliance officers could serve at more than one firm

court gavel regulatory

The woman was permanently banned by the BCSC in 2017

Business Team Meeting Project Planning Concept

Regulators are closer to banning trailer fees paid to discount brokers

Idea

The CSA will undertake its own in-depth analysis of SRO reform, says Grant Vingoe

Business and financial district in a city with pillars

The regulator reduced the requirement for big banks in March

court gavel regulatory

Regulators issued more investor alerts and bans