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Keyword: Investor protection

1872 results found
cryptocurrencies

Regulators should resolve risks upfront before firms get authorization, it says

Crypto coins

Investors misled, lost US$650 million to purported trading venture

Facade of bank of england

Payments firm faces sanction over compliance, governance failings

advisor and client meeting

Research "showed a statistically significant association" between sales pressure and recommendations not in client interests

Retirees

Reps' concerns have been documented for years in IE's Report Card research

Ontario

Regulator releases draft action plan on its vision for more equitable capital markets

Class action

Online bank had inadequate KYC, risk assessment during rapid growth

Quantum computer

Paper calls for central banks to lead preparations for looming security risk

Judge makes ruling

Clients lost millions on futures trading that generated large commissions

Advisor tracking stocks

SRO to mimic U.S. regulatory halts for stock-tracking vehicles