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Keyword: Dispute resolution

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Investing

Regulator proposes new regime to pay out disgorged funds to victims of misconduct

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Firm resolved allegations of KYC, suitability, conflict failures

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

a man pushing a giant ball while others push squares

Industry divided on, investor advocates opposed to, reforms

Queen's Park, Ontario, Canada

Government endorses OSC's investor protection, capital formation efforts

see-saw with king chess piece and pawns

CSA’s proposal to empower OBSI elicits wave of criticism

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