Association calls out Ontario regulator’s title protection framework.

Regulators work together on title protection to eliminate regulatory duplication.

Inter-jurisdictional order mirrors Alberta Securities Commission sanctions in suitability case.

Finds that a permanent ban from registration was not harsh or excessive.

Capital markets use cases, benefits and challenges examined to determine the need for governance.

Investment fund and structured products branch says investor protection remains a top priority.

Summary report intended to help registrants comply with Ontario securities laws.