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rules and regulations

CSA finalizes derivatives conduct rules

Canada remained the last G20 country without conduct standards for OTC derivatives markets

Shot of a group of young businesspeople using a laptop during a meeting in the boardroom of a modern office

Leverage compliance tech to grow your business

Tech-assisted recommendations can improve client outcomes

  • By: David Reeve
  • September 25, 2023 September 25, 2023
  • 15:00
Fines graphic

SEC sanctions Deutsche Bank for greenwashing, AML violations

The firm's U.S. advisory unit will pay US$25 million to resolve charges

Inspecting papers

U.S. fund industry slams new SEC fund-name rules

Regulator aims for truth in advertising, seeks to combat greenwashing

Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizing profits for large business organizations. (Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizin

NASAA details investment advisers’ compliance issues

Registration, record-keeping and supervisory deficiencies were most common in firms' exams

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

MX sanctions weak trading oversight

Wedbush Securities fined for compliance failings

FCA offers crypto firms a little carrot, a bit of stick

U.K. regulator gives compliance extension to some firms, threatens others with enforcement

U.S. brokers need work on best interest compliance

Firms make token effort to raise standards, cling to suitability, NASAA finds

Mid-year blackboard

Advisors renew complaints about client account statements

Performance gains in 2022 for the client account statements category peeled back in the 2023 Dealers’ Report Card

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 sales-rule violations

Former firm provided reps with improper incentives, regulator alleged