FSRA also reiterated that it wants clients to be protected from seg fund deferred sales charges, regardless of when the funds were purchased
Review to scrutinize communications, social media, finfluencers and greenwashing
Crypto lending program amounted to an unregistered offering, regulator alleges
New guidance encourages insurance industry to accommodate financially stressed clients
Compliance exam report documents SRO's emerging and ongoing concerns
Regulator alleged investors weren't told the truth about CEO's dismissal
Criteria need to be strict enough to be credible, without being too tough for fund managers
Younger demographic has different investing habits and preferences, FINRA research finds
FCA seeks to replace EU rules with modern, effective regime
Draft principles recognize the threat to banks and the financial system