Regulation

CIRO seeks new securities lending rules

Proposals aim to codify investor protections, enhance flexibility

By James Langton |February 15, 2024

2 min read

Regulation

Former rep on the hook for recruitment loan

Court rules promissory note between rep and firm is enforceable

By James Langton |February 15, 2024

3 min read

Regulation

FCA revs up its anti-hype machine

Regulator reports rise in scam alerts, misleading promos

By James Langton |February 14, 2024

1 min read

Regulation

TD settles sales practices class action

Bank to pay $22 million while denying fund manager's allegations

By James Langton |February 13, 2024

2 min read

Regulation

Treasury proposes new anti-money laundering regulations for U.S. investment advisers

New rules would require advisers to file reports with the government when they suspect clients of suspicious activity

By Fatima Hussein, The Associated Press |February 13, 2024

2 min read

Regulation

SRO must hand out sanctions before appeal

MSC rules it's premature to hear an appeal until SRO case completed

By James Langton |February 9, 2024

2 min read

Regulation

U.S. Supreme Court upholds whistleblower protections

Analyst was fired after claiming traders tried to influence research

By James Langton |February 9, 2024

2 min read

Regulation

New SEC dealer rule sparks concern

Fund industry critics worry about rules' impact on liquidity, costs

By James Langton |February 7, 2024

2 min read

Regulation

FSRA tightens LLQP exam-taking process

Regulator adopts tougher penalties for cheating, restrictions on rewriting

By James Langton |February 7, 2024

1 min read

Regulation

FINRA revises arbitration rules

Changes come in the wake of independent review of SRO's arbitration program

By James Langton |February 7, 2024

2 min read

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