The SEC announced awards totaling $50 million to two whistleblowers whose high-quality information assisted the agency in bringin...
CN Editor
March 28, 2019
BCSC JOINS SECOND INTERNATIONAL CRACKDOWN ON UNLAWFUL FINFLUENCERS
SEC SECURES SANCTIONS AGAINST "SHAM" ADVISORS
FCA SPEARHEADS GLOBAL ACTION TO STOP ILLEGAL FINFLUENCERS
CIRO ALLEGES PERSONAL FINANCIAL DEALINGS BY FORMER QUADRUS INVESTMENT SERVICES REP FROM TORONTO, ON
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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