The CFTC Division of Swap Dealer and Intermediary Oversight (DSIO) announced it will provide no-action relief to permit certain a...
CN Editor
June 07, 2019
ONTARIO COURT PUSHES BACK ON BINANCE, AGAIN
FCA TRANSACTION REPORTING PROPOSALS TO SAVE FIRMS £100M A YEAR
CFTC CHARGES TWO MEN, THEIR UNREGISTERED COMMODITY POOL WITH FUTURES FRAUD, REGISTRATION VIOLATIONS
AMENDMENTS RESPECTING CONTINGENT DERIVATIVE ORDERS
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OSC SEEKS TO ENFORCE D&O SANCTIONS
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS
FINANCIAL PLANNER LOSES CERTIFICATION OVER DISCRIMINATORY SOCIAL MEDIA POSTS
AS AI TAKES OFF, REGULATORS STRUGGLE TO KEEP UP