The province follows Ontario in regulating "financial planner" and "financial advisor"
The OSC is currently the only provincial regulator that can’t issue blanket orders
A panel discussed the regulatory outlook for 2020 at the Toronto Refinitiv Summit
The MFDA’s public and industry directors have also been approved
Lack of regulations means anything goes
Nobody likes compliance lessons, but reviewing common disciplinary actions can help protect your practice
Review finds most disclosure is incomplete, and many fees aren’t disclosed at all
Progress on priorities will be followed with interest, says Morneau Shepell
The former CEO conspired with others to manipulate the valuation of funds
Citigroup has agreed to pay £43.9 million to resolve allegations that it failed to accurately report its capital and liquidity positions to U.K. regulators