IIROC looks to the courts to boost its collection rate in Ontario
However, the report is not recommending a return to commission-based advice
However, it is difficult to assess whether the FCA’s efforts have reduced the overall scale of mis-selling financial products to consumers
Discussion paper intended to spark a discussion on how industry and regulator can work together to address issues facing older consumers
Many firms do not show consistently good practice across all products and services, U.K. study finds
The U.K. regulator has concerns with suitability and disclosure failures
Bailey replaces Martin Wheatley, who was the U.K. regulator’s first CEO
The revisions are intended to strengthen investor protection and increase market resilience
U.K. discussion paper seeks feedback on policies that may be hindering social investment, and appropriate investor protection
Although financial services firms are aware of the risks that accompany inside information, they need to do more to ensure the risks are handled properly
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