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Keyword: Regulatory

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Solution

The move follows a regulatory warning earlier this year to stop DSC sales of seg funds

  • By: Staff
  • September 8, 2022 September 13, 2022
  • 15:44
Wooden gavel used by a judge or auctioneer

Court cites mental, physical and emotional toll on victims

Two golden coins - Bitcoin and Ethereum

Regulator details its interim approach to capital, liquidity treatment for cryptoassets

Conceptual image of micro circuit Security concept

IOSCO, CMPI launch discussion of infrastructure firms' resilience

Financial data on a monitor—Stock market data on LED

As U.S. industry releases plan, Canadian firms' readiness lags

Justitia, the goddess of justice

U.S. trade groups asked courts to restore rule changes favoured by public companies

advisor client meeting

Tougher standards aim to improve competition and results for customers

scales of justice

The four victims included insurance clients and were the advisor's family members

  • By: Staff
  • July 21, 2022 November 22, 2022
  • 15:49
Leadership

SRO committees focus on market regulation, fixed-income trading issues

  • By: Staff
  • July 12, 2022 July 12, 2022
  • 15:06
stability

Advocacy group calls for regulators to prioritize investor protection