Regulation

New York boosts cybersecurity

July 31, 2017 James Langton
New York boosts cybersecurity

OSFI sets out new rules for pension plans’ use of derivatives

July 31, 2017 James Langton
Adoption of big regulatory changes must avoid unintentional harm

CSA’s big education efforts targeted CRM2 and binary options scams

July 31, 2017 James Langton
Firms increasingly adopting electronic data feeds to track insurance policies

FCA’s CEO calls for transition away from LIBOR

July 28, 2017 James Langton

Compliance Calendar 2017: Recent Updates

July 28, 2017 IE Staff
OSC compliance reviews continue to reveal deficiencies

SEC falling short in improving cybersecurity

July 28, 2017 James Langton
New threats present cybersecurity risks for financial services firms

Canada up to par in asset protection

July 27, 2017 James Langton

Regulators put focus on conflicted transactions

July 27, 2017 James Langton
FPSC makes changes to its board of directors

U.S. regulators sanction four firms

July 27, 2017 James Langton

SEC awards tipster more than US$1.7 million

July 27, 2017 James Langton

CSA’s new rules enhance custody requirements on EMDs

July 27, 2017 James Langton

FINRA restructures enforcement division under Susan Schroeder

July 26, 2017 James Langton