securities regulation Archives - CARP

Securities regulation Posts

On Investor Protection & Overlapping Mandates: Making Something Everyone's Job Sometimes Makes it No One's Job

March 21, 2014

Earl Jones is also out on Good Behaviour (Just in Time for Fraud Awareness Month) It seems like a good time to pause ...

Protecting Investors – Resources to Help Educate and Compensate Investors

December 6, 2012

Editor’s Note:  CARP asked three leading financial services regulators/professional organizations what they can do ...

Ottawa to set new rules for bank mediators

May 4, 2012

The federal government has finally confirmed it will not force the country’s banks to resolve client disputes ...