Regulator addresses criticism of its agenda in revised priorities
FCAC charged with selecting single, external complaints body
Investor advocates aren’t happy with the proposals either
Online brokerage firm fined for compliance issues related to complaints, options approvals
A pre-budget submission says government needs to follow through on its reform pledge
No matter where you are in your career, compliance requirements are a must
Fines levied against reps last year soared to $7.9 million from $938,000 in 2021
Proposals include increasing the limit on claims and publishing arbitration decisions
Review considers doing away with dedicated directors, alternate input mechanisms
Binding authority, single banking complaint body demanded