FSRA issues guidance on credit unions' market conduct frameworks
IIROC panel found rep secretly compensated clients, misled investigators
Jensen joined OBSI's board and is tapped to be the next chair
Proposal would harmonize standards throughout Quebec's financial sector
OBSI’s Joint Regulators Committee said client compensation has fallen $1.3 million short of the recommended payout over three years
Consultation follows a report that exposed deficiencies with the current system
With complaints on the rise, disciplinary activity slowed in fiscal 2021, IIROC reports
IIROC also is looking at retail complaints and disgorgement, among other SRO priorities
Dealers' FX fees, capacity issues and online chatroom activity are all attracting the OSC's interest
Reporting changes will be rolled into a bigger project on complaints, investigations