The SRO will review and clarify KYC and e-signature requirements
Regulators cite investment firms for lax due diligence
The lawyer failed to identify that a former client was allegedly engaging in a market manipulation
FINRA sanctions Cantor Fitzgerald
The regulator has also canvassed its own staff for ideas to reduce the regulatory burden
Industry groups and investor advocates both praise efforts to reduce regulatory costs
Canada doing well, but emerging markets need improvement
The proposed draft guidance aims to provide transparency into the big banks’ funding risk
Association also calls on government to curb certain tax breaks
Positive improvements in liquidity and funding would offset the impact on earnings, a report says