MFDA alleged client gave rep access to bank account while travelling
Court dismisses challenge to enforcement decision, finds process was fair
Firm agreed to $100,000 sanction, admitted oversight violations
Underlying index failed to screen out tobacco sellers, regulator charged
Panellists discussed the funds during the ETFGI summit
IOSCO report recommends practices for investor protection and education during a crisis
U.S. authorities allege Quebec firm used in market manipulation
Firm agrees to pay $US4 million to resolve charges that it didn't follow ESG policies
U.K. regulator says gamification tactics can drive problematic investor behaviour
Side business allegedly enabled billions of stock trades