The future of self-regulatory organizations (SROs) in the investment industry was the topic of an animated debate at the Investme...
CN Editor
September 27, 2019
MFDA PERFORMANCE REPORTING TARGETED REVIEW
FSRA PROPOSES FEES FOR TITLE REGULATION
SEC SETTLES WITH UBS OVER USE OF VOLATILITY-LINKED PRODUCT
FINANCE REVIEWS COMPLAINT-HANDLING SYSTEM OF BANKS
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PMAC SPRING REGULATORY & COMPLIANCE WEBCAST
CLIENT FOCUSED REFORMS - PROPOSED RULE AMENDMENTS FOR PUBLIC COMMENT
IIROC VIRTUAL CONFERENCE FOR INDUSTRY PARTICIPANTS - POSTPONED
BEWARE OF CELEBRITY-BACKED SPACS, SEC WARNS