Industry

OBSI the right choice for dispute resolution: CSA

The Canadian Securities Administrators (CSA) today published for comment amendments to CSA National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, which would require all registered dealers and advisers, outside of Québec, to use the Ombudsman for Banking Services and Investments (OBSI) as the common dispute resolution service (DRS) for the securities industry. “Mandating […]

By Staff |January 2, 2013

1 min read

Firm to pay millions for mispriced mutual fund orders

The Financial Industry Regulatory Authority (FINRA) has ordered Pruco Securities of Newark, New Jersey, to pay more than $10.7 million in restitution to customers.

By Staff |January 2, 2013

2 min read

Markets will survive 2013

Markets can survive volatility again this year.

By Wire services |January 2, 2013

1 min read

Small business confidence holds steady

Optimism among Canada's small- and medium-size businesses held steady in December.

By Staff |January 2, 2013

2 min read