Compliance division's annual report details exam findings at directly regulated firms
Consultation examines whether rules are helping, or hurting, investors
Panel believed rep's evidence over allegations from former client
Regulators find certain funds are highly leveraged and complex
Review by U.K. regulator finds firms need to focus on investor screens, value
CSA unveils first project under new effort to test industry innovations
Investors didn't get paid for lending securities, SRO alleged
CIRO, CSA to publish joint report on CFR sweep in first half
CCIR, CISRO propose new guidance on the design, distribution of seg funds
ESMA issues series of guidance ahead of new regime's launch at year end