Interim rules coming in May, with new CEO, board to be named in Q2
Panel handed down tougher sanctions than SRO sought
Dealers must prepare for ongoing CFR reviews and expiring pandemic exemptions, priorities report says
Increasingly cybersecurity seen as a strategic, systemic concern: Moody's
ESMA proposes making sustainability part of suitability
The CSA is seeking six industry directors and eight independent directors for the board
Changes include clearer requirements for dealers to conduct investigations
Clients lost over $1 million on risky options strategy in market crash
The ex-representative embezzled funds from elderly clients
The firm agreed to a $157,500 fine and will repay 6,000 affected clients