CSA demands pre-registration undertakings from firms to protect investors
Only equities outrank crypto in retail portfolios, Australian research says
Tougher standards aim to improve competition and results for customers
Industry leaders will report at least quarterly to CEO Grant Vingoe
The industry must learn to better sense investor needs instead of reacting to regulations, writes Ken Kivenko
Lawyers, academics named to new advisory group
New cases, sanctions, and fine collection rates all rose, though volume of cases opened during the year declined to 414 in 2021 from 461 in 2020
Regulators see added risks in new leveraged, inverse single-stock ETFs
Advocacy group calls for regulators to prioritize investor protection
Fines, disgorgement and costs orders all rose, the latest enforcement report shows