Regulator announces new financing commitments to Prosper Canada, Osgoode legal aid clinic
SRO sees jump in complaints, investigations, but proceedings down
European authority launches consultations on streamlining reporting requirements
Reps fined, banned for personal financial dealings with clients
Report details liquidity, leverage, valuation, and contagion risks lurking in commercial real estate sector
Firm repaid almost $600,000 to client for losses, DSC fees, tax, lost gains
Analyst traded on confidential info ahead of public disclosure
Court confirms that regulator's order targeting ill-gotten gains can't be wiped away
SEC issues required new guidance on criminal referrals
Paper proposes changes tailored to the unique features of ETFs