The Ombudsman for Banking Services and Investments (OBSI) is now seeking input from stakeholders and the public in relation to th...
CN Editor
September 27, 2024
PROPOSED AMENDMENTS TO BC INSTRUMENT 22-502
FINRA ORDERS SECURITIES AMERICA TO PAY $2 MILLION IN RESTITUTION TO CUSTOMERS, FINES FIRM $1 MILLION FOR MUTUAL FUND SUPERVISION FAILURES
OBSI LAUNCHES PROACTIVE RESOLUTION INITIATIVE PILOT
OBSI 2026 FEES FOR PARTICIPATING FIRMS
Thank you for the feedback!!
2026 COMPLIANCE PRIORITIES AND REGULATORY DIVISION INITIATIVES
THE BANKER, THE BROTHERS, THE FRIENDS AND THEIR FRAUDS
DRAMATIC INCREASE IN FINTRAC FINES COMING, BUT THEIR EFFECTIVENESS IS LESS CLEAR
CIRO SANCTIONS FORMER RBC DOMINION SECURITIES REP FROM ONTARIO