Letter by Chair Atkins suggests changes to funding as well as further rulemaking by the regulator will likely follow.
Broker-dealer
After decades of trying to make the shift, Regulation E-Delivery aims to end the opt-in requirement for receiving electronic investor information.
The changes would allow more retakes within a shorter span of time.
CIRO shines light on its Approved Persons assessment process
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The self-regulator made explicit three criteria for review.
Agencies consult on whether existing regulatory frameworks can keep pace as novel products and trading strategies enter the market.
We interview compliance headhunter Nick Litwinek in the first of a series designed to help compliance, risk, and legal practitioners to find, secure, and manage high-quality compliance talent across regulated industries.
Consumer Voice, Volkswagen Financial Services, Mercedes Benz Financial Services, and Crédit Agricole Auto Finance have all challenged the scheme.
The guidance clarifies trading rules expectations without imposing additional obligations.