comparemela.com

Latest Breaking News On - Investment industry regulator organization - Page 1 : comparemela.com

Hydro One : Notice of 2024 Annual Meeting of Shareholders and Availability of Proxy Materials - Form 6-K

Notice of 2024 Annual Meeting of Shareholders and Availability of Proxy Materials .

Boston
Massachusetts
United-states
Toronto
Ontario
Canada
London
City-of
United-kingdom
Chapleau
Bay-of-quinte
Australia

Hydro One : Of Shareholders and Availability - Form 6-K

similar to what was achieved with the Municipality of Chatham-Kent, which explicitly supports five critical transmission lines in the Southwest, a capital spend totalling $2.8 billion over 10 years.. | May 3, 2023

Canada
New-york
United-states
Beaverbrook
Quebec
Harvard-university
Massachusetts
Province-of-ontario
Ontario
Longview
Texas
Houston

Gary Ng Fined $5.0 Million By IIROC, Receives Permanent Registration Ban Related To PI Financial Purchase

It appears that the Investment Industry Regulator Organization of Canada, or IIROC for short, has finally begun to settle matters

Canada
Braden-macke
Investment-industry-regulator-organization-of-canada
Ontario-securities-commission
Investment-industry-regulator-organization
Deep-dive
Enforcement-staff

Want lower FSCS bills? Giving FCA 24/7 file access might be a start

In this edition of Tech Travels, I am going to consider that the same could apply to regulatory technology (‘regtech’) and compliance in advice and wealth, and that anyone wanting squeaky clean compliance should ‘sit at the front’. By that I mean they should let the regulator have a constant and comprehensive view of their files. Fans of cruel classroom stereotypes will be amused to learn that the company trying to make this a reality is Canada-based Four Eyes Financial. The ‘Four Eyes’ does not refer to a bespectacled nerd – nor does it refer to our own ‘four eyes’ compliance rules.

Canada
Canadian
Investment-industry-regulator-organization-of-canada
Mutual-fund-dealers-association-of-canada
Financial-services-compensation-scheme
Tech-travels
Canada-based-four-eyes
Four-eye
Lori-weir
Four-eyes-financial
Four-eyes

© 2024 Vimarsana

vimarsana © 2020. All Rights Reserved.