Investors lost millions, U.S. authorities allege
CIRO firms exempt from new standards for Quebec financial firms
Core issue is ownership of the dog, which is considered property
Settlement includes disgorgement, penalty and suspension
U.K. regulator seeks to enhance deterrence, investor confidence
Progress to address liquidity mismatch has been uneven, review finds
Online posts amounted to securities-related business, CIRO panel found
Information expanded an investigation, helped protect investors
No evidence that executive tried to hide insider trades
Fund sales stay negative, while ETF sales hold up and assets rise, IFIC says