Regulatory

Brokers must prepare to beef up AML controls: FINRA Fallback Image Decorative pattern

Industry

Brokers must prepare to beef up AML controls: FINRA

U.S. firms' compliance and surveillance programs need review, the SRO says

By James Langton |October 8, 2021

1 min read

Faulty legal advice proves costly for unregistered fund manager Fallback Image Decorative pattern

Industry

Faulty legal advice proves costly for unregistered fund manager

In a settlement with the OSC, he agreed to pay $1.7 million for operating a successful investment club without registration

By James Langton |October 7, 2021

1 min read

Rep fined after OSC rules that regulatory panel erred Fallback Image Decorative pattern

Industry

Rep fined after OSC rules that regulatory panel erred

The commission ordered sanctions against a former MFDA representative who misappropriated client money

By James Langton |October 7, 2021

2 min read

NASAA targets brokers that shirk arbitration awards, fines NASAA targets brokers that shirk arbitration awards, fines

Industry

NASAA targets brokers that shirk arbitration awards, fines

Proposed rules aim to address unpaid compensation to harmed investors

By James Langton |October 5, 2021

2 min read

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