Why it doesn’t impress
Are you prepared to participate in the OSC’s new program?
The SEC investigated a record-breaking 160 cases against advisors in the past year.
Casino-gaming company International Game Technology (IGT) has agreed to pay a half-million dollar penalty for firing an employee with several years of positive performance reviews because blew the whistle. The employee reported to senior management and the SEC that the company’s financial statements might be distorted. In its second whistleblower retaliation case since the Dodd-Frank […]
Protection is twofold, with provisions for confidentiality and anti-retaliation.
01 CSA publishes more research on mutual fund fees On October 22, CSA published new, independent research on how commissions affect mutual fund sales. The research follows a CSA literature review published in June. The research finds that positive past performance drives mutual fund flows; however, past performance affects flows differently, depending on fee structure: […]
The program would be the first of its kind for securities regulators in Canada.
Protecting harmed investors involves more than covering financial losses.
Compliance roundup
The National Whistleblower Center is calling on government’s around the world to enact whistleblower laws