Keyword: Conflicts of interest

202 results found
Modern urban skyscrapers in downtown Chicago from below to the blue summer sky. Sun reflecting in the glass facades of the urban futuristic buildings. Chicago, Illinois, USA

U.K. regulator says investors not getting benefit of higher interest rates as firms "double dip"

Big binders

Decision on tougher investor protection measures coming by end of 2025

Dominos falling

Draft guidance forms part of larger effort to improve industry conduct

Bitcoin cyptocurrency

Crypto platform promises to fight regulator's charges

new rules

The certification body also proposed a "monitor and review" practice standard

  • By: IE Staff
  • November 14, 2023 November 14, 2023
  • 15:40
investor protection

Group to focus on investor-advisor relationships, complaints, suitability

Judge looks at papers

Former fund rep was named in clients' wills and solicited money from them

Groundbreaking securities lawyer, Glorianne Stromberg, dies

U.S. Canada flag

CSA and CIRO seek feedback on the SEC's market structure proposals

big vs little

Proposal aims to address concerns about competitiveness of smaller brokers