New agent allegedly split commissions with ex-agent, churned those clients
Low collection rates and potentially high administration costs raise concern
Editorial: regulators need to empower OBSI to help harmed investors
The man was also ordered to pay more than $2 million in restitution to victims
Conflict of interest concerns spark regulators' review
The risk of misleading disclosure pervades sustainable product lineups, European regulators say
Integrating the SROs' compliance and enforcement functions is a top priority alongside policy work
SRO ordered US$48.1 million in monetary penslties in 2022
Most of the investors' money was put into riskier projects than promised
The IAP is also pushing for reforms to the dispute resolution process