Robo-advisor violated rules when touting hypothetical performance
Real talk about fees and value is good for business
Latest settlement brings penalties in DoJ cases to over US$36 billion
Regulators found firms are failing to identify and manage conflicts in clients' best interests
The CSA and CIRO will consider such awards a compliance issue
Bill C-42 would bring public access to private corporations’ beneficial ownership info
Marketing company gets first-ever penalty for deficient advertorial disclosure
The organization is calling on regulators around the world to consider adopting the standards
Reforms give the regulator enhanced powers to sanction uncooperative witnesses
SRO renews Maureen Jensen's board term for three years