Results include action on insurance, title protection complaints
Integrating the SROs' compliance and enforcement functions is a top priority alongside policy work
Applications due June 26 for the job of enhancing complaint handling
Firms with history of misconduct identified on BrokerCheck system
Regulator addresses criticism of its agenda in revised priorities
FCAC charged with selecting single, external complaints body
Investor advocates aren’t happy with the proposals either
Online brokerage firm fined for compliance issues related to complaints, options approvals
A pre-budget submission says government needs to follow through on its reform pledge
No matter where you are in your career, compliance requirements are a must