The firm is now exploring other options to shore up its financials
As one more banking giant settles with regulators, concerns over enforcement emerge
After coming to an agreement with the OSC, the bank will repay $21.8 million to clients who were incorrectly charged fees
Despite the investment guru’s intervention, the firm might still face trouble ahead
Could the regulator have handled a recent high-profile case better?
Maureen Jensen of Ontario Securities Commission is part of this year's Wealth Professional Canada's Host List.
Charles Sousa of Ontario Ministry of Finance is part of this year's Wealth Professional Canada's Host List.
The group also urged other actions and policies from regulators to protect investors
Regulations, codes of conduct, and backup communications are used to protect elderly clients
The Investor Advisory Panel to the Ontario Securities Commission (OSC) has sent its comments to the regulator