Securities regulators must be prepared to ramp up their oversight of investment firms using artificial intelligence (AI) and mach...
CN Editor
September 08, 2021
FINTECH EXECS ALLEGEDLY DUPED PRIVATE EQUITY FIRM
GLOBAL STANDARD-SETTING BODIES PUBLISH ASSESSMENT OF MARGIN REQUIREMENTS FOR NON-CENTRALLY CLEARED DERIVATIVES
FSRA REVOKES LICENCE OF INSURANCE AGENT FOR ALLEGEDLY MISAPPROPRIATING $700K FROM CHURCH MEMBERS
CRYPTO PLATFORM FACILITATED CRIMINAL ACTIVITY: DOJ
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CIRO SANCTIONS EDWARD JONES (CANADA) FOR SUPERVISORY AND INTERNAL CONTROL FAILURES
APPLICATION OF UMIR TO THE TRADING ACTIVITY OF AN ACCESS PERSON
CIRO ALLEGES MISAPPROPRIATION AND FAILURE TO COOPERATE BY FORMER TD INVESTMENT SERVICES REP FROM TORONTO, ON
GUIDANCE ON DOUBLE PRINTING