Securities lawyer Blair Wiley has joined Wealthsimple as its general counsel and head of regulatory affairs. Wiley had been a pa...
CN Editor
January 08, 2019
FIRM FAILED TO DISCLOSE CONFLICT IN ASSET ALLOCATION: SEC
WEALTHSIMPLE LAUNCHES PRIVATE EQUITY FUND
OPERATOR OF FAKE ROBO ADVISOR ADMITS FRAUD
SEC SCOLDS SCHWAB OVER ROBO DISCLOSURES
Thank you for the feedback!!
BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
HOW FIRMS CAN USE AI IN A RESPONSIBLE, COMPLIANT WAY
GUIDANCE ON TRADING SUPERVISION OBLIGATIONS
FORMER BROKER CHARGED IN "FREE RIDER" CASE