Regulation

U.K. regulator eyes “regtech” to reduce compliance costs

July 20, 2016 James Langton

FINRA sanctions annuity firm for failing to prevent theft

July 19, 2016 James Langton

ESMA advises on extension of funds passport to 12 non-EU countries

July 19, 2016 James Langton

Canadian securities regulators recognize three trade repositories

July 18, 2016 James Langton

CSA continuous disclosure reviews find more deficiencies

July 18, 2016 James Langton

Enhanced disclosure has limited effect on consumers

July 18, 2016 James Langton

EBA launches data collection to support the new prudential framework for investment firms

July 15, 2016 James Langton

OSC launches Office of the Whistleblower

July 14, 2016 James Langton

FCNB to reciprocate national sanctions automatically

July 14, 2016 James Langton

SEC proposes rules to enhance order handling information available to investors

July 13, 2016 James Langton

New Zealand proposals would restrict use of financial advisor title

July 13, 2016 James Langton

Basel Committee publishes revisions to the securitization framework

July 11, 2016 James Langton