Dispute resolution – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 18 Apr 2024 22:08:17 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Dispute resolution – Investment Executive https://www.investmentexecutive.com 32 32 CIRO seeks stiffer enforcement sanctions https://www.investmentexecutive.com/news/from-the-regulators/ciro-seeks-stiffer-enforcement-sanctions/ Thu, 18 Apr 2024 22:08:17 +0000 https://www.investmentexecutive.com/?p=484344 SRO proposes doubling maximum fines, toughening suspensions

The post CIRO seeks stiffer enforcement sanctions appeared first on Investment Executive.

]]> Rep incorporation proposals prove to be sticky wicket https://www.investmentexecutive.com/news/from-the-regulators/rep-incorporation-proposals-prove-to-be-sticky-wicket/ Mon, 08 Apr 2024 21:26:46 +0000 https://www.investmentexecutive.com/?p=483358 Industry divided on, investor advocates opposed to, reforms

The post Rep incorporation proposals prove to be sticky wicket appeared first on Investment Executive.

]]> Ontario budget voices support for OBSI reform https://www.investmentexecutive.com/news/from-the-regulators/ontario-budget-voices-support-for-obsi-reform/ Tue, 26 Mar 2024 20:03:44 +0000 https://www.investmentexecutive.com/?p=482762 Government endorses OSC's investor protection, capital formation efforts

The post Ontario budget voices support for OBSI reform appeared first on Investment Executive.

]]> Binding dispute resolution a bitter pill for industry to swallow https://www.investmentexecutive.com/newspaper_/news-newspaper/binding-dispute-resolution-a-bitter-pill-for-industry-to-swallow/ Mon, 11 Mar 2024 04:00:00 +0000 https://www.investmentexecutive.com/?p=481446 CSA’s proposal to empower OBSI elicits wave of criticism

The post Binding dispute resolution a bitter pill for industry to swallow appeared first on Investment Executive.

]]> Court green-lights funding for bank class actions https://www.investmentexecutive.com/news/from-the-regulators/court-green-lights-funding-for-bank-class-actions/ Tue, 05 Mar 2024 18:48:31 +0000 https://www.investmentexecutive.com/?p=481587 Four banks face lawsuits over duplicate NSF fees

The post Court green-lights funding for bank class actions appeared first on Investment Executive.

]]> AMF issues complaint handling rules https://www.investmentexecutive.com/news/from-the-regulators/amf-issues-complaint-handling-rules/ Wed, 28 Feb 2024 21:29:37 +0000 https://www.investmentexecutive.com/?p=481255 CIRO firms exempt from new standards for Quebec financial firms

The post AMF issues complaint handling rules appeared first on Investment Executive.

]]> FINRA revises arbitration rules https://www.investmentexecutive.com/news/from-the-regulators/finra-revises-arbitration-rules/ Wed, 07 Feb 2024 19:37:51 +0000 https://www.investmentexecutive.com/?p=480073 Changes come in the wake of independent review of SRO's arbitration program

The post FINRA revises arbitration rules appeared first on Investment Executive.

]]> U.S. investor advocates take aim at RIA arbitration https://www.investmentexecutive.com/news/from-the-regulators/u-s-investor-advocates-take-aim-at-ria-arbitration/ Fri, 02 Feb 2024 19:34:27 +0000 https://www.investmentexecutive.com/?p=479755 Firms use forced arbitration to discourage clients from pursuing complaints

The post U.S. investor advocates take aim at RIA arbitration appeared first on Investment Executive.

]]> CSA moves forward with binding dispute resolution https://www.investmentexecutive.com/newspaper_/news-newspaper/csa-moves-forward-with-binding-dispute-resolution/ Mon, 11 Dec 2023 05:12:00 +0000 https://www.investmentexecutive.com/?p=476588 Proposals seek to eliminate lowball settlements

The post CSA moves forward with binding dispute resolution appeared first on Investment Executive.

]]> CSA unveils binding authority for OBSI https://www.investmentexecutive.com/news/from-the-regulators/csa-unveils-binding-authority-for-obsi/ Thu, 30 Nov 2023 12:00:52 +0000 https://www.investmentexecutive.com/?p=476165 Regulators propose long-awaited reforms to enhance industry dispute-resolution system

The post CSA unveils binding authority for OBSI appeared first on Investment Executive.

]]>