The veteran securities lawyer has more than 35 years experience in the private sector as well as with government and securities regulators
The IAP notes such provisions were recently adopted in the U.S.
The groups are aiming to develop a mechanism to help firms and advisors protect clients who may be victims of elder abuse or with diminished mental capacity
FAIR Canada and CARP are worried that the OSC, a leading advocate of investor protection, would be subsumed into the new national regulator
As a result of the regulators’ move, the investor advocacy group is now against the proposed national regulator
The group is asking the CSA in an open letter to step up its oversight and ensure bank-based advisors are meeting their regulatory obligations
The investor advocacy group has some novel recommendations, including the establishment of a fund to compensate victims of frauds
Larry Waite, Guy Lemoine, Stephen Jarislowsky and Preet Banerjee are among the directors elected to the investor advocacy group’s board
The investor advocacy group’s founder returns to the fold as Neil Gross, executive director, prepares to leave on Wednesday
Gross, who succeeded Ermanno Pascutto, informed the organization of his decision in early October; a successor has yet to be named