Dispute resolution – 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 Dispute resolution – 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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]]> 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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]]> 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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]]> Ontario promises MGA licensing https://www.investmentexecutive.com/news/from-the-regulators/ontario-promises-mga-licensing/ Wed, 30 Oct 2024 21:28:26 +0000 https://www.investmentexecutive.com/?p=495771 OSC asked to review OM exemption, beneficial ownership registry being examined

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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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]]> Goldman Sachs, Apple fined by CFPB https://www.investmentexecutive.com/news/from-the-regulators/goldman-sachs-apple-fined-by-cfpb/ Wed, 23 Oct 2024 18:00:10 +0000 https://www.investmentexecutive.com/?p=495348 Firms' joint foray into consumer finance wasn't ready, regulator alleges

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]]> Rulebook rewrite sparks pushback https://www.investmentexecutive.com/newspaper_/news-newspaper/rulebook-rewrite-sparks-pushback/ Fri, 13 Sep 2024 04:05:00 +0000 https://www.investmentexecutive.com/?p=492347 Industry at odds with CIRO’s proposals on maximum penalties and dispute resolution

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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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]]> Secret loan guarantee the basis of claim against Bridging fund: PwC https://www.investmentexecutive.com/news/from-the-regulators/secret-loan-guarantee-the-basis-of-claim-against-bridging-fund-pwc/ Tue, 06 Aug 2024 22:34:29 +0000 https://www.investmentexecutive.com/?p=490582 Receiver rejected company's $213-million claim against flagship fund

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