Dispute Resolution and Mediation Requirements Effective for Registered Securities Dealers and Advisors in Canada –14 Things You Should Know!


New dispute resolution and mediation requirements recently came into effect for registered securities dealers and advisors in Canada, such as exempt market dealers and portfolio managers. This article discusses 14 things you should now about them and the appointment of  the Ombudsman for Banking Services and Investments (OBSI) as the provider of those services. 1.  Effective […]