OBSI

Industry

Byron Capital Markets refuses OBSI compensation request

Byron Capital Markets Ltd. has refused an OBSI compensation request in the amount of $41,149.

By Staff |June 11, 2014

2 min read

Industry

MPPs agree on national regulator

Ontario’s electoral candidates stressed the need to simplify securities regulation at a debate last week, but fumbled a simple question about OBSI’s powers.

By Martha Porado |June 9, 2014

3 min read

Industry

OBSI defends naming and shaming

OBSI is defending its “naming and shaming” of firms that refuse compensation recommendations.

By Staff |June 6, 2014

1 min read

Industry

Give OBSI enforcement powers, says investor panel

There’s an elephant in the room, and the OSC’s Investor Advisory Panel (IAP) wrote a letter about it.

By Staff |May 22, 2014

2 min read

Industry

Another firm refuses OBSI compensation request

The Ombudsman for Banking Services and Investments says Monarch Wealth Corp. won't compensate a young couple $30,628.

By Staff |May 2, 2014

2 min read

Industry

Armstrong & Quaile refuses OBSI request

The Ombudsman for Banking Services and Investments (OBSI) has announced the refusal of Armstrong & Quaile to compensate a retired couple in excess of $34,000.

By Staff |April 25, 2014

2 min read

Industry

Richardson GMP refuses OBSI request

The Ombudsman for Banking Services and Investments says Richardson GMP is refusing to compensate several investors.

By Staff |April 16, 2014

1 min read

Industry

OBSI defies common sense

OBSI’s arms are now twice as long, but weaker than ever.

By Dean DiSpalatro |April 4, 2014

2 min read

Industry

CSA mandates OBSI’s dispute resolution service

CSA has published final amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations. These amendments require all registered dealers and advisers to use the OBSI as the common dispute resolution service (DRS), except in Québec where the mediation regime administered by the Autorité des marchés financiers will continue to apply. Read: CSA […]

By Staff |December 19, 2013

2 min read

Industry

Fiduciary duty will raise costs: CSA roundtable

Participants warned a fiduciary duty will raise compliance and insurance costs for advisors.

By Staff |June 25, 2013

3 min read

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