The SRO is cracking down on dealer agreements with retail investors designed to shield firms from liability
Industry has done a good job of regulating itself, says the OSC's Raymond Chan
A review found that 17% of board seats are now held by women, up from 15% a year ago
Permanently banned from Ontario's markets, Tang may now be soliciting investors in Quebec
SRO wants to ensure fund reps' skills and industry knowledge remain up to date
The shortcomings may be addressed through the CSA's client-focused reforms
The members of the Market Structure Advisory Committee were announced on Tuesday
Ontario hasn't reviewed securities regulations in 16 years
The regulator has unveiled the preliminary agenda for its annual conference
Regulator says company executives diverted investor funds for personal gain