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Keyword: Regulatory

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continuing education

The activities are part of investor education month and world investor week

  • By: Staff
  • September 29, 2021 September 29, 2021
  • 13:05
Wooden gavel used by a judge or auctioneer

The court appointed the firm based on an independent recommendation

financial stock market graph on technology abstract background

The regulator charged a trader for exploiting high volume to carry out a liquidity rebate scheme

Gavel

The SRO withdrew the allegation after settling with the firm's former head

Close up of mouse trap on old wooden table

Marketing tactics by crypto firms are raising concerns with CSA and IIROC

People moves

North American body adopts diversity, inclusion policy

Wooden gavel used by a judge or auctioneer

More than US$4 billion in total is expected to be returned to Madoff's investors

gavel on a wooden bench

The settlement follows the firm's liquidation last year

  • By: Staff
  • September 16, 2021 September 16, 2021
  • 17:52
magnifier and graph, basic tools of technical analysis on the stock market.

Regulatory oversight for benchmarks comes in response to the LIBOR scandal

The Financial Conduct Authority unveiled a three-year strategy to address investor harms