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Keyword: Complaints

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Reporting changes will be rolled into a bigger project on complaints, investigations

suspicious client

Both the number and average size of successful complaints about investment firms dropped in 2020

suspicious client

The regulator says it will contact clients directly as part of compliance reviews

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Regulators say market turmoil and industry disruption are to blame

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Mutual funds top the list of most complained about product

Regulator received 52 complaint forms over a period of 10 months

  • By: IE Staff
  • July 20, 2020 July 20, 2020
  • 15:36
Couple getting financial retirement advice from consultant at home

Ontario's capital markets task force recommends binding authority, higher compensation limits

Businessman takes bag of money from another businessman.

Proposal is one of several set out in SRO's priorities for the current year

Compliance Rules Law Regulation Policy Business Technology concept.

Dissatisfied investors may confront advisors due to poor performance

client complaints tablet

When volatility rises and asset prices fall, client complaints climb