Industry

NASAA targets brokers that shirk arbitration awards, fines

Proposed rules aim to address unpaid compensation to harmed investors

By James Langton |October 5, 2021

2 min read

Financial firms spend big to avoid costly gaffes: Greenwich

Investment in compliance is rising along with what's at stake for asset managers

By James Langton |October 5, 2021

1 min read

Stock buybacks benefit retail investors, research suggests

A paper argues that buybacks add liquidity, curb volatility and reduce trading costs

By James Langton |October 5, 2021

2 min read

A national regulator? Sure, but it will take a miracle

Ontario taskforce chair sees stalemate on national regulator and passport

By James Langton |October 5, 2021

2 min read