Regulators

ESG funds panned as signs of ‘woke capitalism’

Political conflicts and a tightening regulatory environment prove burdensome for fund providers

ESG funds panned as signs of ‘woke capitalism’

BC man who illegally distributed securities must pay almost a million dollars

The man helped a woman invest a seven-figure sum in a company solely controlled by his father, says BCSC

BC man who illegally distributed securities must pay almost a million dollars

Ex-dealing rep fined for switching client, 95, into DSC mutual fund

Advisor, who was fired by company, also failed to disclose he was in a deceased client's will

Ex-dealing rep fined for switching client, 95, into DSC mutual fund

OSC Investor Advisory Panel welcomes new members

Newest panel members with regulatory and investor protection expertise tapped to serve two-year terms

OSC Investor Advisory Panel welcomes new members

Portfolio Strategies Corporation inks KYP partnership with Equisoft

Platform's fund-compare module assists wealth professionals and firms in complying with Canadian regulatory requirements

Portfolio Strategies Corporation inks KYP partnership with Equisoft

Could SEC loophole let fund firms exaggerate their performance?

Regulator's transparency rules could unintentionally allow deceptive practices, researchers say

Could SEC loophole let fund firms exaggerate their performance?