The panel found a rep's misconduct to be serious, but not fraudulent or deceitful
Client cashed RRSPs, paid DSCs, and took credit card advance to lend to rep, regulator alleged
New rules beef up disclosure, investor protections around shell company financings
New measures address the use of DSCs with existing contracts
Rep recruited tenant as a client without firm's permission
Appeal Court finds alleged fiduciary duty breach can be basis for class action
European regulators' paper examines investor protection issues arising from investment industry's digitalization
Regulators welcome voluntary code for ESG ratings, data providers
U.K. regulator says investors not getting benefit of higher interest rates as firms "double dip"
Decision on tougher investor protection measures coming by end of 2025