The British regulator’s significant proposals are aimed at putting an end to clients’ lack of confidence in the industry’s integrity
In a discussion paper released Friday, the UK’s Financial Services Authority aims to explore the steps the regulator or others could take to help consumers understand and protect their own best interests more effectively.The FSA says that while it has no power to impose responsibilities on consumers, it is required by law to consider the […]
Many of the issues that occupied securities regulators in 2008 centred on investor protection
SFSC moves to implement recommendations of Chambers report
Rule would require each marketplace to enforce procedures to ensure that better-priced orders are executed first
Invest time before investing money, CSA urges investors
Shaken by gyrating markets and huge writedowns, investors need assurances about the future
The Canadian Foundation for the Advancement of Investor Rights aims to represent investors in securities regulation
We need to do a better job of providing basic financial education for clients
The U.S. Securities Investor Protection Corp. (SIPC) today cautioned investors about a new identity theft scam designed to extract confidential information and cash from unwary individuals. The SIPC help investors at failed U.S. brokerage firms.SIPC officials said they are investigating phony emails sent by a supposed “senior investment advisor” claiming to act for an actual […]