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Keyword: Client-focused reforms

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investor restitution challenges

Low collection rates and potentially high administration costs raise concern

investor protection

Editorial: regulators need to empower OBSI to help harmed investors

  • By: IE Staff
  • June 2, 2023 May 31, 2023
  • 10:20
Focus on Mutual Funds Special Report

Conflict of interest concerns spark regulators' review

A man removing interlocking pieces from a large stack

Integrating the SROs' compliance and enforcement functions is a top priority alongside policy work

Compliance Legal Rule Compliancy Conformity Concept

Follow these tips to protect your licence and reputation

confused man

Compliance sweep uncovers issues with identifying, disclosing and managing conflicts of interest, including conflicted compensation


Regulator addresses criticism of its agenda in revised priorities


Review comes as many hope OBSI will undergo its own reforms

magnifying glass

A review identified gaps in addressing conflicts associated with proprietary products

Businessman confused and being in bad temper with error message on computer.

Ontario's Ministry of Finance says it is still assessing the OSC's report a year after it was submitted

  • By: Katie Keir
  • February 23, 2023 February 24, 2023
  • 15:41