Investment advisers violated revised marketing rules, regulator alleges
U.K. regulator gives compliance extension to some firms, threatens others with enforcement
Former firm provided reps with improper incentives, regulator alleged
Robo-advisor violated rules when touting hypothetical performance
The CSA and CIRO will consider such awards a compliance issue
Marketing company gets first-ever penalty for deficient advertorial disclosure
Regulator adopts series of measures to curb marketing, bolster investor protection
The risk of misleading disclosure pervades sustainable product lineups, European regulators say
Regime to protect investors must also work for industry, regulator says
Proposed acquisition part of Loyalty Ventures bankruptcy court process in Canada