Retail investors allowed to qualify as pro investors due to weak controls
Regulators lament shrinking shelves, eroding support for junior issuers
Breaches of anti-money laundering rules revealed in compliance review
Concerns about investor harm arise as trailers persist, despite 2012 ban
Enforcement action targets weaknesses in AML controls, compliance
Nothing to indicate account setup was illegal, court finds
Agency seeks feedback on new due diligence standards, enforcement
Accounts opened for shell companies to funnel money to Colombia
BCSC sent case back to SRO panel, which dismissed allegations
Firm self-reported weaknesses in controls, beefed up compliance