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  1. James Langton
    Emphasis on CRM2, cybersecurity and conflicts of interest
  2. James Langton
    Regulators have found that between 74% and 89% of clients that trade in these products lose money
  3. James Langton
    Commission aims to clarify that in-house counsel can't collect a reward in violation of law society rules
  4. Alan Husdal
    The database is another tool for investors to use when making informed investment decisions
  5. James Langton
    The self-regulatory organization will examine concentrations in high risk investments and suitability for senior investors
  6. James Langton
    Quebec regulator cautions investors, issuers
  7. Canadian Press
    The umbrella organization for Canada’s provincial and territorial securities regulators. says it will communicate more details about its position shortly
  8. James Langton
    The revised requirements for banks will begin to be phased in during the second quarter
  9. James Langton
    Robert Jackson Jr. and Hester Peirce participated in the inaugural meeting of the SEC’s new fixed income market structure advisory committee
  10. James Langton
    The former BMO Nesbitt Burns advisor admitted he sold new issues to clients, in part, to generate additional commissions for himself and the firm