Broker conflicts, finfluencers, gamification among regulators' priorities
Expanding access to advice, standardizing KYC data collection on SRO's agenda
Audit regulator hits KPMG's Dutch division with record US$25-million fine
Regulator aims to ease asset managers' access to investment research
Industry divided on, investor advocates opposed to, reforms
Terms of firm's sale weren't fully disclosed to regulators
Off-channel communications hamper regulatory oversight
Expansion of business lines multiplies conflicts and regulatory challenges
Crypto firm to pursue full dealer and ATS registration, plus SRO membership
Consolidation on hold as valuations sag, regulatory oversight intensifies