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Advocis Regulatory Affairs Symposium 2016

An SRO for advisors, increased regulation for insurance advisors, warnings on limiting access to financial advice, and more from the Advocis Regulatory Affairs Symposium in Toronto. Photo copyright: elen1/123RF.

November 17, 2016

Unbundling commissions would limit middle-class retirement savings

Pierre Lortie, senior business advisor, Dentons Canada LLP, says evidence suggests retail investors will resist paying upfront fees for advice, leaving them at risk of failing to save enough for retirement.

  • November 17, 2016 November 9, 2019
  • 14:45

U.K. regulations caused advisor exodus and advice gap

Bhupinder Anand, managing director, Anand Associates, discusses his perspective on the aftermath of the U.K.’s 2013 Retail Distribution Review, which caused an exodus of investment advisors and reduced access to financial advice for low and middle-income investors. He spoke at the Advocis Regulatory Affairs Symposium in Toronto.

  • November 15, 2016 November 9, 2019
  • 12:45

Clients need to make voices heard if SRO for advisors is to become a reality

Although the provinces have not moved yet on the effort to see the creation of an SRO for advisors, clients could help tip the scale in that direction, experts say

  • November 15, 2016 November 9, 2019
  • 10:45

Insurance advisors must get ready for greater regulation

The creation of an FSRA in Ontario and the rapid pace of regulatory change occurring on the investment side of the business has big implications for the life insurance industry

  • November 15, 2016 November 9, 2019
  • 07:30