FPSC investigation highlights advisor behaviors that generates client complaints
Securities regulators haven't done much for OBSI
Search is underway for an independent chairman
Co-operation from certain firms is lacking
Flaherty urged to make OBSI the sole provider of dispute resolution for client complaints, and to make OBSI recommendations binding
Bylaw change ensures continued funding in the wake of TD withdrawal from OBSI
Latest round of compliance exams to focus on client complaint handling rule
FAIR Canada: Firms should be financially responsible for advisors
Change will give investors an additional choice in selecting their arbitrators when they file claims
RBS, Natwest settle with Financial Services Authority