Scotia to pay $20 million in client compensation
The settlement comes after the Ontario Securities Commission alleged that inadequacies in supervision had led to clients paying excess fees
OSC report airs concerns over advice to seniors, other regulatory red flags
A recently released OSC regulatory and compliance report warns against failure to provide seniors with appropriate financial advice, along with other concerns
Should advisors really be worried about the potential end of trailer fees?
As Canadian financial advisors voice concerns over the possible end of trailer fees investment head opines that it may not be so bad
OSC to focus on peer-to-peer and crowdfunding lending
The Ontario Securities Commission has published its annual summary report, which addresses issues the agency has noted in registration and compliance reviews
New securities watchdog launches, offers up to $5 million for tips
The Ontario securities watchdog’s whistleblower program – the first of its kind in Canada – has officially launched
Daily Wrap-up: Oil gains, gold slides further
Oil gains, gold slides further... OSC offers $5 million for whistleblowers... Energy firms must be better at leak detection says regulator... Financial confidence down among young Canadians...
CSA propose ban on trailer fees, embedded commissions for mutual funds
Securities regulators reveal reform plan for mutual funds, with move away from commissions gathering pace
OSC announces new whistleblowing chief
The Ontario Securities Commission as announced Kelly Gorman will head up its brand new whistleblower department
Daily Wrap-up: Oil, gold drag TSX lower
Oil, gold drag TSX lower... Trudeau hints at measures to tackle hot housing markets... Foreign investment in Canadian securities remains strong... OSC to offer up to $5 million to whistle-blowers...
OSC appoints new executive director
OSC veteran Leslie Byberg has assumed top executive director and chief admin roles