Regulation

Former rep on the hook for recruitment loan Fallback Image Decorative pattern

Regulation

Former rep on the hook for recruitment loan

Court rules promissory note between rep and firm is enforceable

By James Langton |February 15, 2024

3 min read

FCA revs up its anti-hype machine Fallback Image Decorative pattern

Regulation

FCA revs up its anti-hype machine

Regulator reports rise in scam alerts, misleading promos

By James Langton |February 14, 2024

1 min read

TD settles sales practices class action TD settles sales practices class action

Regulation

TD settles sales practices class action

Bank to pay $22 million while denying fund manager's allegations

By James Langton |February 13, 2024

2 min read

Treasury proposes new anti-money laundering regulations for U.S. investment advisers Treasury proposes new anti-money laundering regulations for U.S. investment advisers

Regulation

Treasury proposes new anti-money laundering regulations for U.S. investment advisers

New rules would require advisers to file reports with the government when they suspect clients of suspicious activity

By Fatima Hussein, The Associated Press |February 13, 2024

2 min read