The panel imposed $1.1 million in penalties and $400,000 in disgorgement over a fuel-cell scheme
Weaknesses in firms' practices uncovered in compliance exams
Underlying index failed to screen out tobacco sellers, regulator charged
IOSCO report recommends practices for investor protection and education during a crisis
Focus on greenwashing has heightened regulatory risk for ESG funds, managers
Proposal would eliminate regulatory arbitrage between seg funds and mutual funds
Regulators alleged the firm's onboarding process for new reps was deficient
U.S. authorities allege Quebec firm used in market manipulation
SRO alleged rep took money from a client who was a fellow fund rep
Firm agrees to pay $US4 million to resolve charges that it didn't follow ESG policies