WARNING! OSC to Engage in “Mystery Shopping” – Dealers and Advisors Beware!

Mystery Shopper

For Dealers and Advisors and their Representatives The Ontario Securities Commission (the OSC) has recently announced that it will engage in “mystery shopping” research involving dealers and advisors this fiscal year to gauge the suitability of advice currently being provided by registrants.  The purpose of the research is to identify areas of concern that may […]