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Keyword: Complaints

99 results found
gavel

IIROC panel found rep secretly compensated clients, misled investigators

Horn speaker for public relations sign symbol, vintage color - sun with blue sky

Jensen joined OBSI's board and is tapped to be the next chair

compliance puzzle

Proposal would harmonize standards throughout Quebec's financial sector

business people standing in line under a magnifying glass

OBSI’s Joint Regulators Committee said client compensation has fallen $1.3 million short of the recommended payout over three years

challenge-obstacle

Consultation follows a report that exposed deficiencies with the current system

tax inspector investigating financial documents through magnifying glass, forensic accounting or financial forensics, inspecting offshore company financial papers, documents and reports.

With complaints on the rise, disciplinary activity slowed in fiscal 2021, IIROC reports

REGULATION CONCEPT

IIROC also is looking at retail complaints and disgorgement, among other SRO priorities

Financial stock exchange market display screen board on the street

Dealers' FX fees, capacity issues and online chatroom activity are all attracting the OSC's interest

change direction

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