Firm admitted to serving retail investors before SRO approvals, systems in place
Compliance sweep uncovers issues with identifying, disclosing and managing conflicts of interest, including conflicted compensation
Small, straightforward tech solutions can have big payoffs, OSC TestLab finds
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Online brokerage firm fined for compliance issues related to complaints, options approvals
Regulators' actions show that code is not above the law
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Regulator's reviews uncover shortcomings in brokers' Reg BI compliance
U.S., European authorities take down Bitzlato platform
Deal with New York regulator addresses crypto platform's compliance failings