Michelle Dunk has breached previous bans
The MFDA had previously banned the rep in 2012
Although retail investors account for a tiny share of the capital raised, they represent 77% of the number of investors in the exempt market
More knowledgeable investors are more likely to plan ahead, feel more in control of their finances and report lower stress about finances
Daniel Reeve is serving a 14-year sentence for fraud
The commission has reprimanded the portfolio manager for failing to identify and respond to conflicts of interest in connection with WisdomTree ETFs
Proposals out for comment until Dec. 24
Portfolio manager accused of failing to identify and respond to conflicts of interest in connection with WisdomTree ETFs
Many hurdles remain for the CMRA before it becomes a reality
Materials now available in 22 languages