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oad sign for kangaroos in Australia

Royal commission found clients charged for advice they never received

The search for higher returns is leading investors to fraudulent or unsuitable products

EU flags waving in front of European Parliament building. Brussels, Belgium

Review will examine implementation of MiFID II requirements

Closeup of mallet being hit on stacked coins at table in courtroom

Firm failed to question sales on risky exempt securities to certain clients

Shot of a group of young businesspeople using a laptop during a meeting in the boardroom of a modern office

ShelfMonitor scans for changes to investment products

  • By: IE Staff
  • January 14, 2020 January 14, 2020
  • 12:02
Close up of an executive hands holding a pen and indicating where to sign a contract at office

The OSC says there is a lot of room for improvement in its 2019 summary report

rules and regulations written on folder

The shortcomings may be addressed through the CSA's client-focused reforms

Law concept - Law book with a wooden judges gavel on table in a courtroom or law enforcement office

Clients were advised to concentrate their holdings in precious metals sector funds

flag of ontario flying high on a flag post, against blue sky

Referral cases more than doubled from 2018 to 2019

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Rep recommended and implemented extensive margin use for two retired clients

  • May 9, 2019 November 13, 2019
  • 14:00