Julie DiMauro2 min read
Tony McClements | MKS Law2 min read
Alasdair Steele | CMS, Michael Cavers | CMS3 min read
Hameed Shuja3 min read
Hameed Shuja4 min read
Julie DiMauro2 min read
Jean Hurley, Martina Lindberg3 min read
GRIP2 min read
Alex Viall1 min read
Industry concerns, including potential unintended consequences for the markets, cited as reason for not setting an effective date for the changes.
Thomas Hyrkiel, Julie DiMauro2 min read
Annual report includes new section on third-party supplier risk landscape, including emerging regulatory concern about AI use within firms and by third-parties.
Thomas Hyrkiel4 min read
Compliance trends, emerging risk areas and best practices pointers are highlighted.
Alexander Barzacanos4 min read
2023: Slightly more representatives and much fewer enforcement actions.
Alexander Barzacanos1 min read
New roles at the agency show an emphasis on enforcement resources and skill sets.
Alexander Barzacanos<1 min read
Action arises from an anonymous complaint about the OBA’s advertising.
Alexander Barzacanos1 min read
Posts by finfluencers paid for by the firm were not balanced and potentially misleading, but resulted in thousands of new accounts being opened.
Julie DiMauro, Thomas Hyrkiel2 min read
New non-branch location will be subject to more stringent conditions and safeguards to ensure adequate continuing investor protection.
Thomas Hyrkiel, Julie DiMauro6 min read