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Keyword: Complaints

99 results found
suspicious client

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

thumbs down

Regulators say market turmoil and industry disruption are to blame

Shocked middle aged mature woman feeling stressed reading unbelievable online news, surprised senior old lady looking at laptop amazed by unexpected stuck computer problem sit on sofa at home (Shocked middle aged mature woman feeling stressed reading

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

The agency reported an increase in consumer complaints as markets were roiled by Covid-19

Compliance Rules Law Regulation Policy Business Technology concept.

FCA pushes firms to maintain complaint resolution standards