Compliance

Firms sanctioned for reps selling funds they didn’t understand Fallback Image Decorative pattern

Industry

Firms sanctioned for reps selling funds they didn’t understand

Two Wells Fargo firms are paying the SEC US$35 million

By James Langton |February 28, 2020

1 min read

MFDA announces compliance priorities for year ahead Fallback Image Decorative pattern

Industry

MFDA announces compliance priorities for year ahead

The SRO wants to make sure firms’ client reporting is accurate

By James Langton |January 23, 2020

2 min read

Two whistleblowers help SEC shut down ongoing fraud schemes Fallback Image Decorative pattern

Industry

Two whistleblowers help SEC shut down ongoing fraud schemes

The SEC has collectively awarded US$387 to 72 people since 2012

By James Langton |January 23, 2020

1 min read

Best interest rules incoming for U.S. firms Best interest rules incoming for U.S. firms

Industry

Best interest rules incoming for U.S. firms

After June 30 implementation, FINRA will start reviewing firms' best interest compliance

By James Langton |January 9, 2020

1 min read