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Keyword: Investor protection

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New agent allegedly split commissions with ex-agent, churned those clients

investor restitution challenges

Low collection rates and potentially high administration costs raise concern

investor protection

Editorial: regulators need to empower OBSI to help harmed investors

  • By: IE Staff
  • June 2, 2023 May 31, 2023
  • 10:20
Judge gavel, scales of justice and law books in court

The man was also ordered to pay more than $2 million in restitution to victims

Focus on Mutual Funds Special Report

Conflict of interest concerns spark regulators' review

Painting pollution green with a highlighter

The risk of misleading disclosure pervades sustainable product lineups, European regulators say

A man removing interlocking pieces from a large stack

Integrating the SROs' compliance and enforcement functions is a top priority alongside policy work

Fines graphic

SRO ordered US$48.1 million in monetary penslties in 2022

Closeup of mallet being hit on stacked coins at table in courtroom

Most of the investors' money was put into riskier projects than promised

finding your niche

The IAP is also pushing for reforms to the dispute resolution process