The SEC instituted two related enforcement actions against Nomura Securities International Inc., which has agreed to repay approx...
CN Editor
July 16, 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