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
Regulator sets out draft priorities for fiscal 2024
U.K. regulator says gamification tactics can drive problematic investor behaviour