investor protection

Investors must beware of the “halo” effect: ESMA Investors must beware of the “halo” effect: ESMA

Industry

Investors must beware of the “halo” effect: ESMA

Selling regulated and unregulated products side by side poses risks to investors, firms

By James Langton |May 26, 2023

2 min read

Firm sanctioned over syndicated mortgage violations Fallback Image Decorative pattern

Industry

Firm sanctioned over syndicated mortgage violations

Brokerage, owner admitted to various contraventions of mortgage rules

By James Langton |May 26, 2023

1 min read

Fund managers’ valuation practices need help: ESMA Fund managers’ valuation practices need help: ESMA

Industry

Fund managers’ valuation practices need help: ESMA

Review found weakness in firms' valuation processes, procedures

By James Langton |May 24, 2023

2 min read

Company, execs sanctioned for excessive hype Fallback Image Decorative pattern

Industry

Company, execs sanctioned for excessive hype

Investors were misled by company's news releases, OSC alleged

By James Langton |May 19, 2023

2 min read