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Gilkes: OSC should alert the public about client calling policy

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Home News Industry News Gilkes: OSC should alert the public about client calling policy

Gilkes: OSC should alert the public about client calling policy

David Gilkes, vice chairman of the Exempt Market Dealers Association and president of North Star Compliance & Regulatory Solutions Inc., says that the OSC needs to publicly announce its new regulation strategy for exempt market dealers before contacting clients directly — a move he views as potentially destructive to clients’ relationships with dealers. Gilkes spoke at the 2012 EMDA conference in Toronto.

  • By: David Gilkes
  • July 3, 2012 December 15, 2017
  • 15:00
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David Gilkes

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