A perfect storm lies ahead for advisors and dealers
Mitigate your risk amid potential enforcement delays, CFR audits
- November 20, 2023 November 20, 2023
- 15:00
Mitigate your risk amid potential enforcement delays, CFR audits
Protect your business, reputation and clients by knowing your rights and obligations
Follow these tips to protect your licence and reputation
Protect yourself by creating a robust client communication trail
Opportunities and challenges must be weighed
Tech-assisted recommendations can improve client outcomes
An InvestorCOM analysis of KYP outcomes provides positive evidence
Position yourself to effectively address clients’ evolving needs and expectations
Evolving expectations leave some managers struggling
Opinion: The backlash has limited prospects for four reasons
The goal is to create a common language for the issuance of financial instruments
Opinion: Investors want leadership in sustainability, and transparency will help them find it
Federal budget did little to invigorate sluggish investment spending
Tech, profound shocks have changed investor behaviour
A new approach is needed to replace failed government programs
Regulators require internal compliance expertise
Regulatory efficiency saves costs and ultimately benefits investors
Advisors play an important role in enhancing resiliency
The best solution to the complex transition may be flexibility
The delivery of policy shouldn’t be a last step