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Keyword: Investor protection

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Expanding access to advice, standardizing KYC data collection on SRO's agenda

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Clients lost more than $1.5 million on rep's failed fintech venture

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Audit regulator hits KPMG's Dutch division with record US$25-million fine

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Regulator aims to ease asset managers' access to investment research

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BCSC returns nearly $40,000 to investors who lost much more

Regulator publishes first examination of opaque market segment

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Industry divided on, investor advocates opposed to, reforms

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Settlement includes 20-year market bans, monetary sanctions

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Firm failed to adequately oversee rep's risky trading strategy, CIRO says

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Terms of firm's sale weren't fully disclosed to regulators