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Keyword: regulation

842 results found
Bear juggling various crypto coin symbols

ESMA calls on crypto industry to prepare for regulation

Gavel and Money - Canada stock photo

The IIROC panel overlooked evidence that a rep borrowed money rather than misappropriating it

climate change

The regulator is planning the industry's first standardized climate exercise for next year

red card

Editorial: The CSA has yet to deliver on its promised proposal to give OBSI binding authority

  • By: IE Staff
  • October 16, 2023 November 10, 2023
  • 00:04
binoculars

Advisors should monitor tax changes, T+1 and a wide-ranging review of the sector

  • By: IE Staff
  • October 15, 2023 October 13, 2023
  • 00:07
Magnifying glass

Regulator adopts new rules to boost transparency around short activity, securities lending

thumbs down

JRC report details complaints to OBSI involving mutual fund suitability, low-ball settlements

Sneaky thieves

ESMA says novel abuses need to be addressed for DeFi sector to grow

announcement

Deadlines for large investors to report portfolio changes cut under rule changes

Silicon Valley Bank headquarters and branch stock photo

FSB to examine whether anti-bailout measures need to be expanded