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Keyword: Investor protection

542 results found
advisor with client

European regulators warn industry to pay special attention to inflation in disclosure and suitability

Judge's gavel with magnifying glass on black.

Inquiry follows exam cheating scandal, other auditor misconduct

Queen's park, Ontario

Groups laud Saskatchewan's interest in higher standards

business man using magnifying glass to inspect documents

The CSA is reviewing distribution arrangements for in-house funds

Stock trading, people, business concept.

Local regulators opened thousands of investigations, handed down millions in sanctions

Concept of businessman with good work ethic.

Binding authority once again recommended for banks' dispute-resolution system

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Regulator will enable investor to make claim for $900,000 to be paid in settlement

a man on a precipice

Europe's regulators worry as credit, market and operational risks build

vintage microphones

Outgoing members include chair Neil Gross

  • By: IE Staff
  • September 8, 2022 September 8, 2022
  • 14:21
online investors

A report found the ban is effective in preventing retail investors from losing money