FINRA is conducting a retrospective review to assess the effectiveness and efficiency of its rules and administrative processes t...
CN Editor
August 12, 2019
FINRA FINES FIRST TRUST PORTFOLIOS $10 MILLION FOR VIOLATIONS RELATING TO GIFTS AND ENTERTAINMENT
ADVANCING FINRA"S MISSION WITH AI
BCSC NOTICE AND REQUEST FOR COMMENT - PROPOSED AMENDMENTS TO BC INSTRUMENT 22-502 REGISTRATION BY THE INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA
REPUBLICATION OF PROPOSED AMENDMENTS - FULLY PAID LENDING AND FINANCING ARRANGEMENTS
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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