The SRO provides clarity ahead of new year-end requirements, noting how products, fees and even ESG should be discussed
Report casts doubt on regulator’s independence
Ontario's auditor general said the OSC could have acted sooner to address "hidden and unfair" fund fees
The regulator is set to examine banks' product shelves and tied selling
The Ontario government has asked the OSC to review banks' fund lineups, tied selling
OSC head expressed concern about banks' response to the client-focused reforms
The CFRs are really about formalizing and documenting processes to prove they’re followed
Help clients name a trusted contact person
Editorial: With several dealers defying the spirit of the client-focused reforms, have regulators finally learned their lesson?
Investor advocates and law firms worry about inadequate reporting