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New KYP requirements put the spotlight on firm and advisor product knowledge
Retail trading surge on regulators’ radar, Vingoe says
Dealers’ FX fees, capacity issues and online chatroom activity are all attracting the OSC’s interest
Annual inflation rate in April hits highest level in nearly a decade
The increase wasn’t a surprise given last year’s drop in prices
SEC’s whistleblower payouts top US$900 million
The latest award came on a tip that led to multiple investigations and enforcement actions
