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IIROC Imposes $250,000 Fine on Laurentian Bank Securities Inc.
The Investment Industry Regulatory Organization of Canada fines Laurentian Bank Securities Inc. US$250,000 for not using a transaction monitoring system
US SEC Charges Dropil and team for Fraudulent and Unregistered ICO
U.S. Securities and Exchange Commission (SEC) charges founders and issuer of Dropil, Inc. with securities fraud
BCSC Advisory Regarding Pegasus Global Trading Limited
BCSC (British Columbia Securities Commission) adds Pegasus Global Trading Ltd. to the province’s Investment Caution List
SFC Fines BOCOM US$19.6 million for Internal Control Failures
Hong Kong’s Securities and Futures Commission (SFC) has reprimanded and fined BOCOM International Securities Limited (BISL) for regulatory breaches
iComply and Quantoz to Power Stablecoin Blockchain Applications for Financial Service Providers
Partnership enables organisations to launch compliant business processes on public blockchains without the need for technical knowledge of digital wallets or blockchain technologyVancouver, B.C., and Utrecht, NL - April 20, 2020 - iComply Investor Services...
Improving Business Resilience with Intelligent Compliance Automation
How financial services providers can take advantage of the new contactless culture
Microsoft Partners with iComply to Enable Remote KYC and AML Verification
Partnership provides financial service providers, financial planners, law firms, mortgage brokers and insurance agents with a full suite of tools to serve clients without face-to-face meetings Vancouver, B.C. - April 14, 2020 - iComply Investor Services (“iComply”), a...
Canadian Regulators Issue Warning for Halifax & Associates
Multiple Canadian regulators issued investor alerts against online trading platform Halifax & Associates for selling illegal securities
iComply Announces $2M Grant for COVID-19 Relief
iComply announces iComply for Good, a $2M USD services grant for government and community organizations directly involved in COVID-19 relief and support initiatives.
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I love that we can adjust for regulatory changes or business needs without a big software build.
