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Keyword: Complaints

145 results found
business people sitting in a row and applauding

"Landmark" legislation is significant step forward in protecting investors, organization says

Gavel and Money - Canada stock photo

SRO proposes doubling maximum fines, toughening suspensions


Retirees duped by fake investment for almost a decade, SRO finds

Review process

Regulator reports results of first supervisory reviews at planner/advisor titling organizations

Queen's Park, Ontario, Canada

Government endorses OSC's investor protection, capital formation efforts


Regulators craft detailed standards to implement new crypto regime

Judge's gavel with magnifying glass on black.

Four banks face lawsuits over duplicate NSF fees

CIRO firms exempt from new standards for Quebec financial firms

right or wrong choice

Changes come in the wake of independent review of SRO's arbitration program

Target hit in the center by arrow

Firms use forced arbitration to discourage clients from pursuing complaints