Retail Strategy Task Force will develop initiatives to identify misconduct impacting retail investors
The clinic will provide legal help to investors that may have suffered losses due to misconduct
Some professional awards and designations provide little basis on which to judge the abilities of the advisor, SEC investor bulletin says
The two regulators aim to bolster investor protection
The IAP notes such provisions were recently adopted in the U.S.
The provincial regulators placed significant efforts through video and other campaigns to make investors aware of these growing issues
The initiative, to be known as World Investor Week, will feature regulators around the world launching investor-focused campaigns in October
The IAP’s seven new members are Neil Gross, Malcolm Heins, Paul Bates, Jacqueline Allen, Larry Bates, Patti Best and Harvey Naglie
Regulators must have the courage to foster a responsive regulatory climate while protecting investors
FAIR Canada and CARP are worried that the OSC, a leading advocate of investor protection, would be subsumed into the new national regulator