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  1. James Langton
    SEC’s Office of Investor Education and Advocacy tackles the shortening of the settlement cycle
  2. James Langton
    Investor funds diverted for personal expenses
  3. James Langton
    Comments on the proposals are due by Sept. 29
  4. James Langton
    Industry and regulators need to apply greater resources to stop financial fraud against seniors
  5. Jade Hemeon
    The roundtable, which is part of the CSA’s consultation on discontinuing trailing commissions on mutual funds, includes three topics and 13 panellists
  6. IE Staff
    Rog Mangat is facing fraud charges related to an alleged scheme that he called Privileged Investment Group
  7. James Langton
    The SRO will be conducting routine business, such as electing directors, appointing auditors and considering its financial statements
  8. James Langton
    The OSC’s annual conference will focus mostly on how technology is leading to disruptive change in financial services
  9. James Langton
    The agreement will help the OSC and the FPSC carry out their registration/certification, compliance and enforcement duties
  10. James Langton
    Gerald Soloway, Robert Morton and Martin Reid have also been prohibited from serving as officers or directors for a period of time