Review will examine implementation of MiFID II requirements
Firm failed to question sales on risky exempt securities to certain clients
ShelfMonitor scans for changes to investment products
The OSC says there is a lot of room for improvement in its 2019 summary report
The shortcomings may be addressed through the CSA's client-focused reforms
Clients were advised to concentrate their holdings in precious metals sector funds
Referral cases more than doubled from 2018 to 2019
Rep recommended and implemented extensive margin use for two retired clients
The former broker admitted to recommending unsuitable high-risk investments to multiple clients
The SRO issued a report Wednesday analyzing data from its client research project