Expanding access to advice, standardizing KYC data collection on SRO's agenda
Off-channel communications hamper regulatory oversight
Expansion of business lines multiplies conflicts and regulatory challenges
Consultation paper on test environment for trading, clearing digital assets will be open for feedback until May 29
First oversight review finds SRO complying with recognition order
ESMA consultation finds mixed feelings on shorter settlement cycle
Policymakers to implement consolidated tapes, ban payments for order flow
Self-regulatory organization proposes new settlement obligation and expanded guidance
Guards against "fat finger" error to face regs’ scrutiny
Calgary's Leede Jones Gable fined $150,000 for oversight failings
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