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Keyword: Compliance

683 results found
Silhouette of man at sunset

CIRO sketches three-year strategic vision

Expanding access to advice, standardizing KYC data collection on SRO's agenda

PCAOB sanctions KPMG, Deloitte affiliates for exam cheating

Audit regulator hits KPMG's Dutch division with record US$25-million fine

Trader screen

FCA to revive research bundling

Regulator aims to ease asset managers' access to investment research

a man pushing a giant ball while others push squares

Rep incorporation proposals prove to be sticky wicket

Industry divided on, investor advocates opposed to, reforms

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Fund dealer chief sanctioned for misleading SRO

Terms of firm's sale weren't fully disclosed to regulators

SEC sanctions advisory firm for private messaging

Off-channel communications hamper regulatory oversight

tightrope

Risks arise as exchanges evolve, IOSCO says

Expansion of business lines multiplies conflicts and regulatory challenges

Crypto coins

Coinbase Canada gets CSA registration

Crypto firm to pursue full dealer and ATS registration, plus SRO membership

Merger puzzle pieces

U.S. bank M&A weak amid tougher scrutiny

Consolidation on hold as valuations sag, regulatory oversight intensifies

Review process

CIRO gets clean bill of health from CSA

First oversight review finds SRO complying with recognition order