Both the FCA and SEC are grappling with the effects of the outbreak
Financial regulation could also be part of the priorities laid out later this month
The CSA cited investor protection as it gave a timeline for its ban, while Ontario's regulator introduced new limits on DSC sales
Reports of suspected exploitation are up in jurisdictions that give financial firms safe harbour
A discussion paper calls the current system outdated, complex and product-based
Rep took $200,000 from elderly clients and gambled it away, among other violations
SEC says it aims to make financial statements more useful for investors and ease compliance for companies
Regulators say firm and fund manager misrepresented risk management practices
The SEC has collectively awarded US$387 to 72 people since 2012
Aspiring investors aren’t confident that investment advice is properly regulated, IIROC finds