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Scotia was sanctioned for regulatory snafus after several deputies were fired. | Jobs Vox

[ad_1] According to the agreement, the company was found guilty of several misconducts and its control weaknesses were exposed. In particular, the company found representatives who manually changed their annual sales results. who set up pre-authorized contribution plans (PACs) before the first contribution was made and immediately canceled them; and treated certain transactions as redemptions … Read moreScotia was sanctioned for regulatory snafus after several deputies were fired.

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Money Guru: SEBI to introduce regulatory framework for direct schemes of mutual fund schemes for ‘executive platforms only’ | Jobs Vox

[ad_1] zeenews.india.com understands that your privacy is important to you and we are committed to being transparent about the technologies we use. This Cookie Policy explains how and why cookies and other similar technologies are placed on your device when you use or visit the zeenews.india.com websites (collectively, the “Sites”). This Cookie Policy should be … Read moreMoney Guru: SEBI to introduce regulatory framework for direct schemes of mutual fund schemes for ‘executive platforms only’

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SEBI to introduce ‘execution-only platforms’ regulatory framework for mutual fund schemes | Jobs Vox

[ad_1] It will be open for business from the second working day after the election results are published, SEBI said Photo credit: Reuters SEBI on Tuesday said it will introduce a regulatory framework for “execution-only platforms” for direct schemes of mutual fund schemes to further promote the penetration of such instruments as investment vehicles. A … Read moreSEBI to introduce ‘execution-only platforms’ regulatory framework for mutual fund schemes

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