Financial sector funds now out of bounds for regulator's employees
Broker failed to alert investors to cheaper investing channel, regulator alleges
Bank to pay $22 million while denying fund manager's allegations
European regulators flag threats to investors from industry, influencers
The panel found a rep's misconduct to be serious, but not fraudulent or deceitful
Client cashed RRSPs, paid DSCs, and took credit card advance to lend to rep, regulator alleged
New rules beef up disclosure, investor protections around shell company financings
New measures address the use of DSCs with existing contracts
Rep recruited tenant as a client without firm's permission
Appeal Court finds alleged fiduciary duty breach can be basis for class action