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Regulation
Regulation
Swiss bank to pay US$547 million to settle tax evasion case
February 5, 2016
James Langton
Canada, Switzerland to share financial account information
February 5, 2016
James Langton
Basel Committee expands anti-money laundering guidelines
February 4, 2016
James Langton
MFDA bans advisor and fines him $5 million
February 3, 2016
James Langton
SEC completes muni-underwriter enforcement sweep
February 2, 2016
James Langton
FCA review finds compliance failings with CFDs
February 2, 2016
James Langton
ESMA finds evidence of closet indexing
February 2, 2016
James Langton
IIROC seeks greater enforcement powers in Ontario
February 1, 2016
James Langton
NASAA members adopt model act to protect seniors and vulnerable adults
February 1, 2016
James Langton
Wall Street firms reach settlement on dark pool violations
February 1, 2016
James Langton
U.S. DOL fiduciary rule at OMB
January 29, 2016
James Langton
MFDA fines firm $4 million for selling fraudulent product
January 29, 2016
James Langton
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