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Blog December 22, 2017

CSA Staff Notice highlights concerns with Registered Firms’ Complaint System

On December 7, 2017, the Canadian Securities Administrators (CSA) jurisdictions and staff of the Investment Industry Regulatory Organization of...

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Blog November 3, 2017

OBSI complaint volumes on the rise

On October 30, 2017, Ombudsman for Banking Services and Investments released its first quarterly OBSI e-news publication, highlighting key...

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Blog July 14, 2017

Division continues amongst Canadian securities regulators regarding best interest standard

Amid division across the Canadian securities regulators, the Ontario Securities Commission appears determined to move forward with a best interest...

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