Complaints – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Tue, 03 Dec 2024 19:18:52 +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 Complaints – Investment Executive https://www.investmentexecutive.com 32 32 ASIC reports on industry complaint handling https://www.investmentexecutive.com/news/from-the-regulators/asic-reports-on-industry-complaint-handling/ Tue, 03 Dec 2024 19:18:52 +0000 https://www.investmentexecutive.com/?p=497799 Regulator launches effort to enhance transparency of firms' dispute resolution efforts

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]]> Christmas comes early for FAIR Canada https://www.investmentexecutive.com/news/from-the-regulators/christmas-comes-early-for-fair-canada/ Wed, 27 Nov 2024 18:43:55 +0000 https://www.investmentexecutive.com/?p=497551 OSC provides investor advocate with $11 million in funding over six years

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]]> FCA seeks redress system reform https://www.investmentexecutive.com/news/from-the-regulators/fca-seeks-redress-system-reform/ Fri, 15 Nov 2024 18:30:32 +0000 https://www.investmentexecutive.com/?p=496820 Regulators aim to improve handling of systemic issues

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]]> OBSI reform slated for second half of 2025 https://www.investmentexecutive.com/news/from-the-regulators/obsi-reform-slated-for-second-half-of-2025/ Thu, 07 Nov 2024 20:18:19 +0000 https://www.investmentexecutive.com/?p=496274 CSA says next phase of consultation to come next year

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]]> It’s official: OBSI becomes sole external complaints body for banking https://www.investmentexecutive.com/news/from-the-regulators/its-official-obsi-becomes-sole-external-complaints-body-for-banking/ Fri, 01 Nov 2024 17:33:01 +0000 https://www.investmentexecutive.com/?p=495907 The move is expected to reduce delays, simplify the banking complaints system

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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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]]> Why a rise in reported bullying at U.K. banks may be positive https://www.investmentexecutive.com/news/from-the-regulators/why-a-rise-in-reported-bullying-at-u-k-banks-may-be-positive/ Fri, 25 Oct 2024 19:01:58 +0000 https://www.investmentexecutive.com/?p=495509 FCA review finds an increase in workplace complaints

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]]> Justice delayed, not quite justice denied, panel says https://www.investmentexecutive.com/news/from-the-regulators/justice-delayed-not-quite-justice-denied-panel-says/ Wed, 02 Oct 2024 20:32:23 +0000 https://www.investmentexecutive.com/?p=493805 CIRO must get on with the enforcement proceeding, if that's what it intends to do

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]]> SEC sanctions investment firm’s NDAs https://www.investmentexecutive.com/news/from-the-regulators/sec-sanctions-investment-firms-ndas/ Fri, 27 Sep 2024 18:46:29 +0000 https://www.investmentexecutive.com/?p=493551 Barriers to providing information to regulators violate whistleblower protections, SEC alleges

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]]> CCIR plans overhaul of complaints system oversight https://www.investmentexecutive.com/news/from-the-regulators/ccir-plans-overhaul-of-complaints-system-oversight/ Thu, 12 Sep 2024 21:13:14 +0000 https://www.investmentexecutive.com/?p=492610 Reforms follow a review that found shortcomings in existing arrangements

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