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  1. James Langton
    Former rep admits he repeatedly used pre-signed blank client forms
  2. James Langton
    Efforts to conceal ownership of Clean Power stock prevented regulator from determining whether stock was manipulated
  3. IE Staff
    Audio recordings now available
  4. IE Staff
    Upcoming regulatory deadlines of interest to financial advisors. Updated weekly.
  5. Fiona Collie
    Audit reveals former salesman processed trades using signed blank forms for over a dozen clients
  6. James Langton
    IIROC releases FAQ document on first phase of CRM2 reforms
  7. James Langton
    U.S. regulator filed 755 enforcement actions in 2014
  8. Marcy Gordon
    Athena Capital Research to pay US$1 million
  9. James Langton
    Regulators finalize rule amendments regarding disclosure of women on boards and in senior management
  10. David Friend
    Former Hollinger exec testifies at OSC hearing