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Keyword: Compliance

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Complaint volumes surging, CIRO reports

Collections plunge as hefty sanctions are handed out

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

BCSC sanctions company, exec for misleading investors

Former executive fined, banned for seven years due to misconduct

Patron saint of investor protection passes away

Groundbreaking securities lawyer, Glorianne Stromberg, dies

merger

CIRO takes step toward consolidated dealer rules

New SRO aims to harmonize requirements for fund dealers and investment dealers

Ontario proposes quicker consultations for OSC, FSRA

Legislative changes would cut minimum comment period to 60 days

U.S. Canada flag

The fallout for Canada from U.S. market reforms

CSA and CIRO seek feedback on the SEC's market structure proposals

Cop chasing crook

CFTC plans tougher stance, bigger fines

New guidance signals larger fines, more misconduct admissions

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Regulation no silver bullet for crypto risks, European regulators say

ESMA calls on crypto industry to prepare for regulation

Dispute at desk

SEC targets best-interest rules in broker reviews

Regulator's exam division sets compliance priorities for 2024

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Advisors praise their compliance departments

Advisors becoming more dependent on support from compliance professionals