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Keyword: Investor protection

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Female tax inspector looking at corporate financial documents with magnifying glass

The OSC advisory group is facing a long list of investor issues

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Investor advisory panel would provide feedback on regulatory policy issues and initiatives

stock market

The call by U.S. watchdogs for a shorter settlement cycle follows increased trading volume, volatility

A new MFDA paper aims to take the mystery out of client vulnerability

virtual regulation

The regulator issued an alert about a banned man hosting online investment conferences

10380127 - building silhouettes of a city and flag

An investor advisory council would allow retail investors to speak on their own behalf and promote active dialogue between regulators and investors, writes Ken Kivenko

confused man

A clear delineation of responsibilities would allow for an effective relationship

Cropped shot of a cheerful elderly woman hugging her husband who's in a wheelchair at home during the day

The CSA will finalize rules designed to protect vulnerable clients by early summer

Businessman balancing bear bull financial managing stock market illustration

Creating more investor-friendly structures may be the key to long-term viability of shell company deals

Laughing senior man using laptop computer at home

FINRA found that isolation can impact decision-making, including when it comes to finances