Reforms would extend program to fund dealers, expand monetary limits, fund certain costs
FCA review finds an increase in workplace complaints
CIRO must get on with the enforcement proceeding, if that's what it intends to do
Barriers to providing information to regulators violate whistleblower protections, SEC alleges
Reforms follow a review that found shortcomings in existing arrangements
Seven companies settle allegations that labour contracts violated SEC rules
Fraud claims pass suitability issues among investment cases
With reforms pending, the organization will search for new consumer, industry board reps
Self-regulatory organization reported year-over-year decline in decisions and sanctions
Regulator proposes new regime to pay out disgorged funds to victims of misconduct