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Keyword: Registration

271 results found
Crypto currency

BitMEX sanctioned in U.S. for anti-money laundering, KYC violations

Tread carefully

AIMA survey finds crypto funds struggle to get basic banking services

stock market data

Marex Capital Markets sanctioned in settlement with MX

fraud

Panel orders more than US$50M in disgorgement, plus $5M in penalties and costs

A creative woman asking a question at the office

SRO sets out common requirements, contemplates shift to annual CE cycle

Dogecoin

Regulator issues first in a planned series of discussion papers on crypto rules

penalty card

Rep circumvented registration limits to trade wider range of securities

Judge's gavel with magnifying glass on black.

The firm and its founder were permanently banned, fined

Crypto currency

Regulator lays out plans for rule consultations with new regime due in 2026

hand holding a megaphone

RBC still requires the credential in retail branches, FSRA provides date for forthcoming title protection review