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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

Disclosure failures violated best-interest rules: SEC

Broker failed to alert investors to cheaper investing channel, regulator alleges

Judge's gavel with magnifying glass on black.

SEC settles with Van Eck over influencer involvement

ETF firm failed to disclose influencer's role in touting fund, regulator alleged

FCA revs up its anti-hype machine

Regulator reports rise in scam alerts, misleading promos

Sustainable investing

Sustainable bonds to edge higher: S&P

Green bonds to lead the way, with transition and blue bonds getting traction

gavel

TD settles sales practices class action

Bank to pay $22 million while denying fund manager's allegations

Partners discussing new plans

Annual statements: An unparalleled client engagement opportunity

It’s time to think differently about client communications and disclosure documents

  • By: Susan Silma
  • February 7, 2024 February 7, 2024
  • 15:00
social media

Social media’s market manipulation risk

European regulators flag threats to investors from industry, influencers

Judge looks at papers

SRO panel takes softer line on sanctions

The panel found a rep's misconduct to be serious, but not fraudulent or deceitful

client meeting

Investors blindly trust advisors, FAIR Canada finds

Study participants preferred to rely on the knowledge of professionals rather than learn about investing

Bank buildings

Banks, insurers falling behind on climate risk

OSFI says financial firms need to pick up the pace on climate impacts