Regulator concerned that investors may be duped by efforts to pump dormant stocks
Dealers should examine their client reports for unusual or incorrect information
They tipped the regulator to misconduct after each reported internally
The regulator reminded insurers to watch over agents, including MGA reps
The group of regulators penned a letter that warns unilateral Ontario reforms could hurt harmonization
FAIR Canada supports tougher investor protection measures, but questions other proposals
The SEC is considering money market reforms
While the market has proved resilient, the Treasury Department said, the SEC, CFTC will review trading practices
Findings related to pre-signed forms were reasonable, the Alberta Securities Commission said
The MFDA is working on an "implementation roadmap" for its vision for the future of self-regulation