Jan 31, 2022 | Client-Focused Reforms (CFRs), Corporate Finance, Investment Funds, Regulatory Compliance
Related to OSC Staff Notice 33-753 OSC Consultation on Tied Selling and Other Anti-Competitive Practices in the Capital Markets, on December 7 the Ontario Securities Commission (the OSC) commenced a desk review, also known as the OSC Product Review Sweep (the Sweep),...
Aug 31, 2021 | Investment Funds, Regulatory Compliance
The Department of Finance Canada released a consultation paper on July 16 relating to the complaint handling process used by consumers for banking services and products. The consultation document follows a review of the process and Canada’s external complaint handling...
