Policymakers propose measures to integrate, harmonize markets
Final consultation on merged dealer rules will get 120-day comment period
Compliance review will examine industry conflicts with investors' interests
Firm paid $4.6 million in client compensation, clawed back reps' fees
Regulator brings first enforcement action against a professional body
Firm fined for series of violations uncovered in compliance exam
Tribunal made no error in overruling regulator, court finds
Regulator publishes draft priorities, highlighting competitive concerns
Regulators aim to guard against systemic risk, bolster fund industry practices
Firm penalized for breaches uncovered in a compliance exam