Home In Depth Special Reports Upcoming regulatory changes: How to avoid the minefields

Upcoming regulatory changes: How to avoid the minefields

In this six-part video series, Dan Richards, CEO, Client Insights, interviews Lynn McGrade and Rebecca Cowdery, who are both partners at Borden Ladner Gervais LLP, about the impact of upcoming targeted regulatory reforms on advisors, including the “Best Interest Standard of Care” paper, proposed enhancements to “Know your Client” and “Know your Product”, and much more.

October 28, 2016

Regulators divided over best interest standard

In the final video of a six-part series on regulatory changes, Dan Richards, CEO, Client Insights and Lynn McGrade, partner at Borden Ladner Gervais LLP, discuss regulators’ conflicting standpoints on the best interest standard proposal from the Canadian Securities Administrators.

  • October 28, 2016 November 9, 2019
  • 12:00

Regulators propose dramatic expansion of KYP requirements

In part five of a six-part video series on regulatory changes, Dan Richards, CEO, Client Insights and Rebecca Cowdery, partner at Borden Ladner Gervais LLP, discuss the different know your product obligations regulators have proposed for two types of firms.

  • October 24, 2016 November 9, 2019
  • 05:30

Regulators propose restrictions on titles and designations

In part four of a six-part video series on regulatory changes, Dan Richards, CEO, Client Insights, speaks with Lynn McGrade, partner at Borden Ladner Gervais LLP, about the Canadian Securities Administrators’ (CSA) proposals to restrict the use of titles and designations by advisors.

  • October 17, 2016 November 9, 2019
  • 05:20

Understanding the CSA’s conflicts of interest proposals

In part three of a six-part video series on regulatory changes, Dan Richards, CEO, Client Insights and Rebecca Cowdery, partner at Borden Ladner Gervais LLP, discuss the CSA's proposals concerning conflicts of interest and how advisors can get ready for a higher standard.

  • October 9, 2016 November 9, 2019
  • 05:30

KYC and suitability proposals raise the bar

In part two of a six-part series on targeted regulatory reforms, Dan Richards, CEO, Client Insights, speaks with Lynn McGrade, partner at Borden Ladner Gervais LLP, about the CSA’s proposed changes to know-your-client and suitability that would significantly raise professional standards for advisors.

  • October 3, 2016 November 9, 2019
  • 05:30

What advisors need to know about the CSA’s “best interest” standard

In part one of a six-part video series on regulatory changes, Dan Richards, CEO, Client Insights and Rebecca Cowdery, partner at Borden Ladner Gervais LLP, discuss the Canadian Securities Administrators’ consultation paper on a “best interest standard,” including an overview of the targeted reforms.

  • September 22, 2016 November 9, 2019
  • 16:05