For Investment Executive‘s (IE) 11th annual Regulators’ Report Card, compliance officers (COs) and company executives shared thei...
CN Editor
April 05, 2019
COURT REJECTS BINANCE"S CHALLENGE OF OSC INVESTIGATION
SUSTAINABLE FINANCE DISCLOSURE STILL FALLING SHORT
AI TOOLS FOR FINANCIAL ADVISORS ARE ALREADY HERE
FAKE EPSTEIN INVESTIGATION FRAUDSTER GETS JAIL
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BCSC SETTLES WITH PORTFOLIO MANAGER FOR SALES PRACTICE AND COMPLIANCE SYSTEM VIOLATIONS
INVESTOR COMPLAINS THAT UNSUITABLE MUTUAL FUND INVESTMENTS LED TO FINANCIAL LOSS
CIRO UPDATED GUIDANCE - ANTI-MONEY LAUNDERING COMPLIANCE FOR INVESTMENT DEALERS
PMAC SUMMARY ON THE OSC"S ANNUAL COMPLIANCE AND REGISTRANT REGULATION (CRR) BRANCH SUMMARY REPORT FOR DEALERS, ADVISERS AND INVESTMENT FUND MANAGERS