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For the latest iComply news and updates
Client Suitability in Wealth Management for Singapore Firms
Our latest expert insight with Rolf Haudenschild of Ingenia Consultants shares how to provide tailored portfolio recommendations with client suitability
BCSC targets EU virtual asset platform i-Coin
The British Columbia Securities Commission issues regulatory warning against I-Coin, a European cryptocurrency trading platform
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