Fraud claims pass suitability issues among investment cases
Ongoing regulatory initiatives include binding authority at OBSI, climate-related disclosures, misleading titles, mutual fund sales practices and more
With reforms pending, the organization will search for new consumer, industry board reps
Regulator proposes new regime to pay out disgorged funds to victims of misconduct
"Landmark" legislation is significant step forward in protecting investors, organization says
SRO proposes doubling maximum fines, toughening suspensions
Government endorses OSC's investor protection, capital formation efforts
Firms use forced arbitration to discourage clients from pursuing complaints
Regulators propose long-awaited reforms to enhance industry dispute-resolution system
Group to focus on investor-advisor relationships, complaints, suitability