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Keyword: Conflicts of interest

218 results found
buying insurance on a cell phone

Ontario proposes new MGA regulation

New regime aims to enhance consumer protection, set industry standards

Regulation

OSC’s compliance work escalates

Risky firms, crypto platforms add to compliance division's workload

Crossed fingers

Activist short seller charged with securities fraud

SEC, DoJ allege Citron Research, and its founder, misled investors

right or wrong choice

Fewer prospectuses key to FCA reform proposals

Proposals seek to ease capital raising, bring back research bundling

Red alert

Much work to be done, CSA year in review shows

Ongoing regulatory initiatives include binding authority at OBSI, climate-related disclosures, misleading titles, mutual fund sales practices and more

Magnifying glass looking at financial data

For U.S. regulators, the devil is in the data

Agencies adopt standards to address bias, conflicts in valuation models

Businessman Walk Over Cliff Gap Risk Mountain Balancing Flat Illustration

Post-crisis reforms working, FSB finds

Measures to address securitization market failures reduced risk without curbing lending

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

BCSC, fund manager settle compliance issue case

Firm resolved allegations of KYC, suitability, conflict failures

Judge looks at papers

B.C. court rules on limits to powers of attorney

Gift to son denied, as it wasn't specifically set out in POA

A person inside a financial maze made out of hedges.

Court strikes down SEC’s private fund rule

Regulator exceeded its authority with its proposed rulemaking