U.S. authorities allege that a former quantitative analyst with a New York-based asset manager carried out a multi-million dollar...
CN Editor
September 24, 2021
SEC ISSUES EXEMPTIVE ORDER REGARDING COMPLIANCE WITH CERTAIN RULES UNDER REGULATION NMS
CONCERNS FOLLOW REGULATORS" SURVEY OF MUTUAL FUND REPS
IA FINANCIAL"S ACQUISITION OF RF CAPITAL TO CLOSE THS WEEK
FCA PROPOSES REFORMS TO SHORT-SELLING RULES
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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
AS AI TAKES OFF, REGULATORS STRUGGLE TO KEEP UP
FINANCIAL PLANNER LOSES CERTIFICATION OVER DISCRIMINATORY SOCIAL MEDIA POSTS