The OBSI released its OBSI e-News for Q4/2018 which includes a summary of the topline complaints data comparing fiscal years 2017...
CN Editor
January 01, 2019
OBSI LAUNCHES PROACTIVE RESOLUTION INITIATIVE PILOT
OBSI 2026 FEES FOR PARTICIPATING FIRMS
COMPLAINT CONFIDENTIALITY IN THE PUBLIC INTEREST
CONSUMER BULLETIN: AN INVESTOR"S GUIDE TO UNDERSTANDING INVESTMENT SUITABILITY AND WORKING WITH AN INVESTMENT ADVISOR
Thank you for the feedback!!
OSC SEEKS TO ENFORCE D&O SANCTIONS
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS
FINANCIAL PLANNER LOSES CERTIFICATION OVER DISCRIMINATORY SOCIAL MEDIA POSTS
AS AI TAKES OFF, REGULATORS STRUGGLE TO KEEP UP