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Keyword: Compliance

734 results found
investment growth

FCA aims to fill the advice gap for mid-market U.K. investors

Regulator proposes new "targeted support" model for collective advice

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Former TD employee in U.S. charged for money laundering

Florida-based worker allegedly facilitated laundering of drug proceeds in Colombia

Judge looks at papers

Ontario court approves trailer fee class action deal

TDAM to pay $70.25 million to settle class action over the payment of trailers to discount brokers

Graphic of Europe

Boosting banks’ defences to fund risks

Basel Committee issues new guidance on counterparty credit risk weaknesses

Canadian money

FINTRAC fines bank for compliance violations

Agency uncovered transaction reporting failures in compliance review

Whistleblower

Research finds paying whistleblowers works

Programs in U.S. and Canada have proven effective at detecting, deterring financial crime

Crypto money

Review finds crypto firms sloppy with KYC too

OSC sweep uncovered issues with firms' account opening, client limits

Judge looks at papers

U.S. brokerage failed to guard against reps’ theft

Morgan Stanley sanctioned by SEC for supervisory failures

hospital

FSB details resolution planning progress

Group publishes first annual list of insurers that face global resolution standards

AI computer

Regulators rule out discretionary AI trading, for now

CSA issues new guidance, consults on possible future reforms to address AI advances