Advisor to pay a penalty of $10,000
Firm to pay $150,000 for trade supervision and audit trail deficiencies
Former compliance officer banned
Significant portion of increases are avoidable, SIA argues
Amendments aim to increase compliance with Regulation SHO
New era of regulation has arrived
The Mutual Fund Dealers Association has issued a bulletin to advise its members that its staff have commenced the second round of compliance examinations. These examinations will include review of deficiencies identified during the initial examination and resolution of these deficiencies, it says. Firms must ensure that deficiencies identified during their first compliance examination are […]
Program designed to meet escalating demand for compliance professionals
Issuers were unaware of provisions, CSA says
Make believers of senior management, Bourque advises