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Keyword: Regulatory

1449 results found
Justitia, the goddess of justice

The pair of tipsters who have denied an award didn't provide info that contributed to the investigation, the SEC said

Social networking concept

Regulator concerned that investors may be duped by efforts to pump dormant stocks

Growth

Dealers should examine their client reports for unusual or incorrect information

scales of justice

They tipped the regulator to misconduct after each reported internally

Close up on a file tab with the word life insurance, focus on the main text and blur effect. Concept image for illustration of family protection policy

The regulator reminded insurers to watch over agents, including MGA reps

Maze and businessmen, miniature,

The group of regulators penned a letter that warns unilateral Ontario reforms could hurt harmonization

File

FAIR Canada supports tougher investor protection measures, but questions other proposals

Glowing light bulb on wooden wall with drawing charts and

The SEC is considering money market reforms

Portrait of confused businessperson thinking of innovative idea at grey wall.

While the market has proved resilient, the Treasury Department said, the SEC, CFTC will review trading practices

Close up business man signing contract making a deal, classic business

Findings related to pre-signed forms were reasonable, the Alberta Securities Commission said