Ombudsman for Banking Services and Investments – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Wed, 06 Nov 2024 17:05:33 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Ombudsman for Banking Services and Investments – Investment Executive https://www.investmentexecutive.com 32 32 OSC reviews funds’ risk ratings, ETF regulation https://www.investmentexecutive.com/news/from-the-regulators/osc-reviews-funds-risk-ratings-etf-regulation/ Wed, 06 Nov 2024 17:05:33 +0000 https://www.investmentexecutive.com/?p=496149 Regulator examines use of discretion in ratings, following OBSI alert

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]]> CIRO proposes overhaul of arbitration program https://www.investmentexecutive.com/news/from-the-regulators/ciro-proposes-overhaul-of-arbitration-program/ Thu, 31 Oct 2024 19:11:45 +0000 https://www.investmentexecutive.com/?p=495842 Reforms would extend program to fund dealers, expand monetary limits, fund certain costs

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]]> CIRO revisits returning money to harmed investors https://www.investmentexecutive.com/news/from-the-regulators/ciro-revisits-returning-money-to-harmed-investors/ Mon, 21 Oct 2024 20:42:23 +0000 https://www.investmentexecutive.com/?p=495179 Self-regulatory organization consults on proposed disgorgement distribution policy

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]]> Fund dealer complaints drop, bank gripes up: OBSI https://www.investmentexecutive.com/news/from-the-regulators/fund-dealer-complaints-drop-bank-gripes-up-obsi/ Tue, 23 Jul 2024 20:21:44 +0000 https://www.investmentexecutive.com/?p=489856 Fraud claims pass suitability issues among investment cases

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]]> Much work to be done, CSA year in review shows https://www.investmentexecutive.com/news/from-the-regulators/much-work-to-be-done-csa-year-in-review-shows/ Tue, 23 Jul 2024 11:00:04 +0000 https://www.investmentexecutive.com/?p=489713 Ongoing regulatory initiatives include binding authority at OBSI, climate-related disclosures, misleading titles, mutual fund sales practices and more

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]]> OBSI seeks pair of new directors https://www.investmentexecutive.com/news/from-the-regulators/obsi-seeks-pair-of-new-directors/ Mon, 22 Jul 2024 18:56:16 +0000 https://www.investmentexecutive.com/?p=489735 With reforms pending, the organization will search for new consumer, industry board reps

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]]> OSC seeks more money for harmed investors https://www.investmentexecutive.com/news/from-the-regulators/osc-seeks-more-money-for-harmed-investors/ Thu, 11 Jul 2024 18:51:50 +0000 https://www.investmentexecutive.com/?p=489216 Regulator proposes new regime to pay out disgorged funds to victims of misconduct

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]]> FAIR Canada applauds Saskatchewan’s OBSI bill https://www.investmentexecutive.com/news/from-the-regulators/fair-canada-applauds-saskatchewans-obsi-bill/ Tue, 28 May 2024 21:34:59 +0000 https://www.investmentexecutive.com/?p=486626 "Landmark" legislation is significant step forward in protecting investors, organization says

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]]> CIRO seeks stiffer enforcement sanctions https://www.investmentexecutive.com/news/from-the-regulators/ciro-seeks-stiffer-enforcement-sanctions/ Thu, 18 Apr 2024 22:08:17 +0000 https://www.investmentexecutive.com/?p=484344 SRO proposes doubling maximum fines, toughening suspensions

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]]> Ontario budget voices support for OBSI reform https://www.investmentexecutive.com/news/from-the-regulators/ontario-budget-voices-support-for-obsi-reform/ Tue, 26 Mar 2024 20:03:44 +0000 https://www.investmentexecutive.com/?p=482762 Government endorses OSC's investor protection, capital formation efforts

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