Tag: OSC
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Securities regulators urged to make gender diversity policies mandatory (with video)
Canadian securities regulators should make gender-diversity policies mandatory for companies on the Toronto Stock Exchange after a majority of companies rejected voluntary standards this...
OSC releases annual compliance and registrant regulation report
On September 21, 2015, the Ontario Securities Commission’s (OSC) Compliance and Registrant Regulation Branch (CRR) released its Annual Summary Report for Dealers, Advisers and Investment...
OSC ruling on award ads misguided – Op-ed
The OSC recently restricted fund companies’ ability to use industry awards in their advertisements. This news was largely unexpected and has been met with...
Mystery shopping report offers insight into investment advisor practices
On September 17, 2015, the OSC, IIROC and MFDA released the results of their joint “Mystery Shopping for Investment Advice” initiative. This exercise, conducted...
37% of Ontario investment advisor firms fail to meet regulations, according to mystery shoppers (with video)
First impressions are important; especially when you’re looking for someone you can trust to manage your financial future. Unfortunately, more than one-third of Ontario...
