The Securities and Exchange Commission today charged Ilit Raz, CEO and founder of the now-shuttered artificial intelligence recru...
CN Editor
June 12, 2024
CIRO ALLEGES MISAPPROPRIATION AND FAILURE TO COOPERATE BY FORMER TD INVESTMENT SERVICES REP FROM TORONTO, ON
REPORT FROM WORKSHOP ON FINANCIAL CRIMES, AS PART OF THE FINANCIAL INDUSTRY FORUM ON ARTIFICIAL INTELLIGENCE II: A COLLABORATIVE APPROACH TO AI THREATS, OPPORTUNITIES, AND BEST PRACTICES
JSOT CRIMINALLY CHARGES ALEXANDER (ALEX) FRANCIS ONGOMA
SEC ISSUES EXEMPTIVE ORDER REGARDING COMPLIANCE WITH CERTAIN RULES UNDER REGULATION NMS
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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