Two options from last year’s consultation paper merit further exploration
Regulator publishes annual compliance report covering EMDs, portfolio managers, and fund managers
Vincenzo Sirianni permanently banned from trading, registration, and serving as a director or officer
ESMA, EBA want a harmonized approach to handling complaints across the investment, banking and insurance sectors in Europe
former Edward Jones advisor Harold Hee Jeen Ahn was fined $1 million by IIROC in 2011
Barrie, Ont. man charged after investigation
SHARE outlines business arguments for banks to improve services to underserved market segments
Boutique firm headed up by industry veterans Bob Sewell and Steve Meehan
Revisions aimed at promoting greater transparency
Slowdown mainly driven by lower food and energy prices