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
WEALTHSIMPLE LAUNCHES PRIVATE EQUITY FUND
OPERATOR OF FAKE ROBO ADVISOR ADMITS FRAUD
SEC SCOLDS SCHWAB OVER ROBO DISCLOSURES
TRADING APPS, FINFLUENCERS, CRYPTO TO FACE SEC SCRUTINY
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ASC ALLEGES JASON DAVID NEALE, RANDAL STEWART THOMPSON AND WILLIAM ALLAN GREEN BREACHED ALBERTA SECURITIES LAWS
DRAMATIC INCREASE IN FINTRAC FINES COMING, BUT THEIR EFFECTIVENESS IS LESS CLEAR
DELAYING THE EFFECTIVE DATE OF THE ANTI-MONEY LAUNDERING/COUNTERING THE FINANCING OF TERRORISM PROGRAM AND SUSPICIOUS ACTIVITY REPORT FILING REQUIREMENTS FOR REGISTERED INVESTMENT ADVISERS AND EXEMPT REPORTING ADVISERS
WITH CRM3 AROUND THE CORNER, HERE"S HOW FINANCIAL SERVICES FIRMS ARE PREPARING