August 5, 2020

February 13, 2019

Is Self-regulation Working in the Public Interest?

By Ermanno Pascutto and Douglas Walker

June 27, 2019

April 15, 2019

FAIR Canada Statement on SNC Part I
By Ermanno Pascutto and Douglas Walker

FAIR Canada supports the use of deferred prosecution agreements to resolve allegations of criminal offences brought against Canadian public companies in order to mitigate the victimization of innocent shareholders.

October 31, 2016

Be bold, regulators
By Neil Gross

Those still timorous and uncertain about introducing a best interest duty have a duty, themselves, to become decisive

October 3, 2016

Non-GAAP metrics: investors’ little helpers or harmful nonsense?
By Neil Gross

Every company can calculate non-GAAP metrics however they want, so there’s real risk of investors and markets being misled

September 6, 2016

Class dismissed
By Neil Gross

Overcautious courts are erecting barriers to securities class actions, even though these lawsuits are essential for maintaining the integrity and fairness of our capital markets

August 8, 2016

Why is deficient issuer disclosure allowed to persist?
By Neil Gross

Data shows that investors routinely receive, or are at risk of receiving, seriously bad disclosure from reporting issuers more than a quarter of the time

July 11, 2016

If equity crowdfunding is a dud, let it die
By Neil Gross

The trickle of interest in the U.S. has prompted some lawmakers there to conclude that the design of the exemption must have been bungled

June 13, 2016

Who benefits and who loses from keeping OBSI toothless?
By Neil Gross

A new independent report makes it clear that binding decisions are needed for full and fair compensation

May 16, 2016

Investment professional or faux pro: Which will you be?
By Neil Gross

It’s time for advisors who want to be true professionals to make their voices heard in support of some real reforms

April 18, 2016

The Case for Robo-reciprocity
By Neil Gross

Reciprocal enforcement of disciplinary orders is a practical way to reduce problems caused by regulatory fragmentation, but it needs to be comprehensive and automatic

March 21, 2016

Fraud prevention requires detention
By Neil Gross

Deterrence is the key ingredient, but it won’t be achieved through fines and public education

February 22, 2016

Science-denying tactics will do the mutual fund industry no good
By Neil Gross

As regulators enter the final stage of deciding the fate of trailing commissions, they rightly insist on real evidence-based analysis

January 25, 2016

Laws should aid misled investors, not negligent auditors
By Neil Gross

It’s time to discard an ill-fitting legal precedent and rethink our inadequate liability limits

Editorials for 20152014, 2013

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