Refine list by
  A (9)
  B (5)
  C (19)
  D (4)
  F (17)
  I (122)
  J (781)
  K (2)
  L (1)
  M (28)
  O (1)
  P (17)
  R (12)
  S (4)
  T (9)
  1. James Langton
    The SEC and CFTC pledge to stop and prevent fraud
  2. James Langton
    The AMF will follow up on the results of the review and may require firms to make changes to their “Fund Facts” documents
  3. James Langton
    IIROC seeks input on changes to plain language rulebook
  4. James Langton
    Unauthorized discretionary by Adam Woodward caused significant client losses, regulator says
  5. James Langton
    Investors urged to be very careful in considering these highly speculative investments
  6. James Langton
    Emphasis on CRM2, cybersecurity and conflicts of interest
  7. James Langton
    Regulators have found that between 74% and 89% of clients that trade in these products lose money
  8. James Langton
    Commission aims to clarify that in-house counsel can't collect a reward in violation of law society rules
  9. Alan Husdal
    The database is another tool for investors to use when making informed investment decisions
  10. James Langton
    The self-regulatory organization will examine concentrations in high risk investments and suitability for senior investors