The SEC announced awards totaling $50 million to two whistleblowers whose high-quality information assisted the agency in bringin...
CN Editor
March 28, 2019
CIRO ALLEGES PERSONAL FINANCIAL DEALINGS BY FORMER QUADRUS INVESTMENT SERVICES REP FROM TORONTO, ON
CIRO SANCTIONS PFSL INVESTMENTS CANADA LTD. FOR SUPERVISORY FAILURES
NYSE SEEKS APPROVAL FOR TOKENIZED TRADING
SEC AND CFTC JOINTLY PROPOSE AMENDMENTS TO REDUCE PRIVATE FUND REPORTING BURDENS
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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