Fund change triggered large tax bills for certain investors, regulators alleged
Revised agreement between a rep and his former firm was valid: decision
TDAM to pay $70.25 million to settle class action over the payment of trailers to discount brokers
Target of SEC enforcement can have access to frozen funds for appeal, court says
PwC proposes an interim $473 million payout to investors
Certification body agrees not to challenge CIFP’s right to use trademarked Chartered Financial Planner designation
Target of insider trading case was prevented from airing abuse of process claims, court says
Regulator commits to reform after judicial rebuke
Appeal Court agrees to rule once and for all on path for quashing a summons
Reforms would extend program to fund dealers, expand monetary limits, fund certain costs