The change will result in more than $700K of savings for registrants
A special advisor to the commission shares what the OSC might change
An expert describes common allegations against advisors
The program would deal with cases that don't warrant a formal disciplinary proceeding
Regulator alleges firm failed to provide clients with position cost information in account statements
Failure to cooperate with the investigation was an aggravating factor
Association says investment firms face a number of compliance challenges
Moody's estimates the new EU requirements will add between 0.25% and 2.0% to firms’ costs
The lawyer failed to identify that a former client was allegedly engaging in a market manipulation
The former rep took advantage of a widow, the panel found