Investors didn't get paid for lending securities, SRO alleged
CIRO, CSA to publish joint report on CFR sweep in first half
CCIR, CISRO propose new guidance on the design, distribution of seg funds
ESMA issues series of guidance ahead of new regime's launch at year end
OSC sweep uncovered issues with firms' account opening, client limits
Compliance sweep in 2022 found WealthBar wasn't meeting new standards
Firm failed to oversee trading activity by a couple of its reps
Leverage strategy deployed on the down low resulted in hefty financial losses
Group seeks revisions to U.S. state rule that match SEC's Reg BI reforms
Approval regime, proficiency are among areas covered in latest consultation