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Keyword: Conflicts of interest

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A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Fund rep fined, banned for client borrowing

Misconduct continued even when rep was under close supervision, CIRO says

Frozen funds

FCA reaches deal for investors in frozen funds

Fund manager, H2O, agrees to provide €250 million to unitholders

buying insurance on a cell phone

Ontario proposes new MGA regulation

New regime aims to enhance consumer protection, set industry standards

Regulation

OSC’s compliance work escalates

Risky firms, crypto platforms add to compliance division's workload

Crossed fingers

Activist short seller charged with securities fraud

SEC, DoJ allege Citron Research, and its founder, misled investors

right or wrong choice

Fewer prospectuses key to FCA reform proposals

Proposals seek to ease capital raising, bring back research bundling

Red alert

Much work to be done, CSA year in review shows

Ongoing regulatory initiatives include binding authority at OBSI, climate-related disclosures, misleading titles, mutual fund sales practices and more

Magnifying glass looking at financial data

For U.S. regulators, the devil is in the data

Agencies adopt standards to address bias, conflicts in valuation models

Post-crisis reforms working, FSB finds

Measures to address securitization market failures reduced risk without curbing lending

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

BCSC, fund manager settle compliance issue case

Firm resolved allegations of KYC, suitability, conflict failures