Broker conflicts, finfluencers, gamification among regulators' priorities
Expanding access to advice, standardizing KYC data collection on SRO's agenda
Clients lost more than $1.5 million on rep's failed fintech venture
Audit regulator hits KPMG's Dutch division with record US$25-million fine
Regulator aims to ease asset managers' access to investment research
BCSC returns nearly $40,000 to investors who lost much more
Regulator publishes first examination of opaque market segment
Industry divided on, investor advocates opposed to, reforms
Settlement includes 20-year market bans, monetary sanctions
Firm failed to adequately oversee rep's risky trading strategy, CIRO says