Fund dealers were advised to examine their client reports for unusual or incorrect information
Anti–money laundering rules provide greater investigative powers and allow higher penalties
Compared with non-minorities, Black Canadians suffer higher unemployment and lower wages
The regulator will offer civil and criminal immunity for ratting out insider trading and market manipulation
Companies issued record quantities of debt in 2020, and issuance remains strong
The regulator says it will contact clients directly as part of compliance reviews
A tip that generated SEC and DoJ enforcement action has garnered two financial awards
The BIS Innovation Hub and SWIFT are co-hosting a competition on cross-border payments
The U.K. regulator issued guidance aiming to ensure at-risk clients are treated fairly by financial firms
Firm self-reported violations, took remedial action and is seeking EMD status