Regulatory

U.S. regulator’s new challenge: educating rookie investors

FINRA seeks input on reaching meme stock traders and other novices

By James Langton |June 30, 2021

2 min read

Robinhood to pay US$70 million to settle FINRA accusations

The financial penalty is the largest ever ordered by the U.S. self-regulatory organization

By The Associated Press |June 30, 2021

2 min read

Addressing the conflict of proprietary products

Conflicts-related reforms come into effect June 30

By Michelle Schriver |June 29, 2021

5 min read

Fund rep sanctioned for stealing from bank customers

Ex-rep admitted to misappropriating money and undisclosed borrowing from a client

By James Langton |June 29, 2021

2 min read