Gilkes: OSC should alert the public about client calling policy
David Gilkes, vice chairman of the Exempt Market Dealers Association and president of North Star Compliance & Regulatory Solutions Inc., says that the OSC needs to publicly announce its new regulation strategy for exempt market dealers before contacting clients directly — a move he views as potentially destructive to clients’ relationships with dealers. Gilkes spoke at the 2012 EMDA conference in Toronto.
- By: David Gilkes
- July 3, 2012 December 15, 2017
- 15:00