Tribunal's finding that 2004 trading ban was breached is upheld on appeal
Compliance division's annual report details exam findings at directly regulated firms
Scheme raised $20 million from investors, promising access to locked-in funds
Firm's former CEO, David Sharpe, seeks judicial review of tribunal's findings against him
Regulators set out proposed approach to oversight, external reviews
Research "showed a statistically significant association" between sales pressure and recommendations not in client interests
Reps' concerns have been documented for years in IE's Report Card research
Regulator releases draft action plan on its vision for more equitable capital markets
Judge set the bar too low in granting regulator's application, real estate firms argue
As of July 1, regulator can serve investigative summonses electronically