Hallett: two steps for better fund industry regulation
- By: Dan Hallett
- May 20, 2009 December 15, 2017
- 15:36
SRO alleged investors paid US$2 million in fees for short-term sales
Compliance review will examine industry conflicts with investors' interests
Tech companies pulled into effort to tackle large scam operations
Investors misled about rep's trading success, disciplinary history
Canada's Big Six banks brought in a collective $16.45B in profits in Q4