Regulation

Dealer settles with clients

Keybase has enhanced compliance in complaints-handling case

By James Langton |July 2, 2020

2 min read

IIROC considers reimbursing wronged investors

Proposal is one of several set out in SRO's priorities for the current year

By James Langton |June 29, 2020

2 min read

NEI will discontinue DSCs this year

The firm cited a lack of demand for the fee option

By Staff |June 26, 2020

1 min read

Regulators delay new strategic plans

AMF defers new agenda to 2021, OSC looks to autumn consultation

By James Langton |June 25, 2020

2 min read