U.S. court orders Patrick Cole and Global Strategic Marketing to pay disgorgement and penalties
Senior compliance staff from fund dealers invited to serve on policy advisory committee
Fraud remains the biggest source of cases against individuals
Exemptions intended to help firms raise capital, while protecting investors
FCA publishes examples of good and bad practices to help firms and advisors meet independence requirements
Secret investment programs lure investors with promises of large returns
Private Capital Markets Association of Canada name reflects membership and mandate
Former OSC enforcement lawyer appointed senior deputy commissioner
Superintendent rules agent banned by MFDA be supervised by another agent for 24 months