The SRO is supporting Osgoode's investor service for two years
The requirement to put clients’ interests first “reinforces the importance of suitability”
Unlicensed professionals must avoid registrable activity
The pandemic highlighted the importance of ensuring operational resilience
The sanctions between the two total US$42.5 million, to settle the U.S. regulator's allegations
Basel III implementation made progress despite extreme market turmoil
The OSC is launching a new initiative to allow experimentation for novel ideas
The firm has five "primary" bidders, with six others targeting certain loans
Total cost reporting for seg funds as well as title regulation are on the docket for fiscal 2022–23
U.S. firms' compliance and surveillance programs need review, the SRO says