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  1. James Langton
    The regulator is concerned that the seminar focuses on scams in which investors are encouraged to withdraw funds from their RRSPs or RRIFs
  2. James Langton
    The U.S. regulator alleged that the firm improperly prevented departing employees from potentially collecting whistleblower awards
  3. James Langton
    The SRO is seeking to suspend introducing broker, which became capital deficient on Jan. 3 and subsequently sold its business to Hampton Financial
  4. James Langton
    Large asset managers are better positioned to absorb the added compliance costs, a new report from Moody’s finds
  5. James Langton
    This is the second time that the SRO has extended the comment period on proposed new guidance regarding discount brokers
  6. James Langton
    The SRO is launching a second round of consultations on the actual rules that would impact mutual fund dealer reps
  7. James Langton
  8. James Langton
    The recommendations are designed to increase transparency in liquidity mismatch and focus on measuring and monitoring leverage in investment funds
  9. James Langton
    Regulators are concerned that a product that’s restricted, or banned, for investment firms could still be distributed directly by fund managers
  10. James Langton
    The regulator, which published its list of priorities for 2018, will also examine wrap programs and the possible exploitation of senior investors