SRO aims to ease compliance, adjust limit to inflation
Series of alleged violations included failing to report suspicious activity
Broker failed to meet gatekeeper obligations, missed red flags, when trading penny stocks for U.K. firm
Binding authority for investor dispute resolution body OBSI should be priority, investor advocacy group says
New firm failed to adequately review trading, client comms, SRO alleged
Policy recommendations and guidance aim to improve liquidity risk management
Initiative addresses rise of finfluencers, digital engagement, social trading
Agreement between Ontario and Hong Kong aims to ease market access
Regulator uncovered compliance issues, including dealings with Iran
Industry calls for technology-neutral approach to regulating sector