Regulation

FINRA to focus on supervision, conflicts of interest in 2016

January 5, 2016 James Langton

CFTC approves proposed rule providing an alternative to fingerprinting for foreign nationals

January 4, 2016 James Langton

IIROC looking for candidates for CDS board

January 4, 2016 James Langton

CSA extends approval for CanPX

January 4, 2016 James Langton

MaRS VX strengthens compliance systems

December 24, 2015 James Langton

CDCC proposes rule changes

December 23, 2015 James Langton

IAP calls for best-interest standard

December 23, 2015 James Langton

IOSCO reports on business continuity plans for trading venues and intermediaries

December 22, 2015 James Langton

IIROC terminates Edgecrest’s membership

December 22, 2015 James Langton

MFDA bans former advisor for 10 years

December 22, 2015 James Langton

Ex advisor banned for misappropriating funds from clients

December 22, 2015 James Langton

MFDA releases reasons for penalties against advisor

December 22, 2015 Tessie Sanci