Ellen Bessner and Dan Richards discuss the key takeaways from the OSC’s 2015 mystery shop exercise and give tips on handling regulators’ upcoming mystery shops (Part 3 of 4)
In part three of an eight-part series, “How not to get sued,” Ellen Bessner, partner, Babin Bessner Spry LLP, and Dan Richards, CEO, Client Insights, explain key takeaways for advisors from the Ontario Securities Commission mystery shop exercise in 2015, and give tips on handling upcoming mystery shops by the regulators.
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