The inadequate supervision involved suitability, concentration in sector funds
Regulator seeks to address concerns about client over-concentration
Royal commission found clients charged for advice they never received
The search for higher returns is leading investors to fraudulent or unsuitable products
Review will examine implementation of MiFID II requirements
Firm failed to question sales on risky exempt securities to certain clients
ShelfMonitor scans for changes to investment products
The OSC says there is a lot of room for improvement in its 2019 summary report
The shortcomings may be addressed through the CSA's client-focused reforms
Clients were advised to concentrate their holdings in precious metals sector funds