The CFTC announced that it is extending to September 13 the comment period for the proposed rulemaking to amend certain regulatio...
CN Editor
July 02, 2019
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
MX FINDS BMO NESBITT BURNS ENGAGED IN FRONT RUNNING
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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