FAIR Canada worried about lower standards for listings regulation
Esson received shares from a client with no indication of paying for them, panel finds
Any personal financial dealing with clients creates an unacceptable conflict of interest, IIROC says
Connection between dealer and issuer may result in conflicts of interest
Proposed principals set out methods to mitigate potential conflicts
Agents required to complete the questionnaire by July 27
Report discusses approaches for addressing conflicts that may arise during securities offerings
FSCO plans to review principles
Association responds to Newfoundland’s Principles of the Sale of Insurance
Settlement brings multi-state investigation to a close