As a not-for-profit organization, OBSI recovers all of its budgeted operating expenses from its participating firms each year. OB...
CN Editor
October 25, 2024
QUEBEC REGISTRATION RESPECTING COMPLAINT PROCESSING AND DISPUTE RESOLUTION IN THE FINANCIAL SECTOR - CIRO DEALER MEMBER EXEMPTIONS
UNSUITABLE INVESTMENTS LEAD TO $62K LOSS FOR INVESTOR
UNDERSTANDING THE E&O CLAIMS PROCESS AS REGULATORY FINES INCREASE
INVESTOR ADVOCATES PUSH TO GIVE OBSI BINDING POWERS TO RESOLVE COMPLAINTS
Thank you for the feedback!!
SEC FINES CANADIAN FIRM OVER REGISTRATION
FINRA PROPOSES GIFT LIMIT INCREASE
FINANCIAL ACTION TASK FORCE IDENTIFIES JURISDICTIONS WITH ANTI-MONEY LAUNDERING, COUNTERING THE FINANCING OF TERRORISM, AND COUNTER-PROLIFERATION FINANCE DEFICIENCIES
OPINION: CANADA"S NEW AML REGULATIONS ARE A WAKE-UP CALL