In an effort to enhance competition in the retail investment market, regulators in the U.K. are proposing new rules designed to m...
CN Editor
March 15, 2019
SEC SECURES SANCTIONS AGAINST "SHAM" ADVISORS
CIBC TRAILER SETTLEMENT OPEN TO DIY INVESTORS
REGULATORS TALK REMEDIATION, FEE TRANSAPARENCY AND "CONSUMER-CENTRIC" PRODUCT DESIGN
CFTC ALLEGES INSIDER TRADING ON PREDICTION MARKET
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BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
HOW FIRMS CAN USE AI IN A RESPONSIBLE, COMPLIANT WAY
ADJUDICATOR IN OSC VS. PURPOSE CASE STEPS DOWN
GUIDANCE ON TRADING SUPERVISION OBLIGATIONS