Regulators are failing seniors
Their emphasis on principles-based regulation and education is falling short
Latest news in Harvey Naglie
CIRO’s new proficiency standards fall short of professional benchmarks
Regulatory reforms miss an opportunity to establish meaningful competence requirements
- By: Harvey Naglie
- January 27, 2026 January 27, 2026
- 01:43
Bank branch sales culture in a CFR world
Clients walk into bank branches expecting access to a mix of competitive products — that's not what they get
- By: Harvey Naglie
- January 13, 2026 January 14, 2026
- 16:17
Why have public market listings fallen so precipitously?
Efforts to loosen oversight and boost growth are misguided — we should take a lesson from Australia
- By: Harvey Naglie
- January 9, 2026 January 9, 2026
- 12:13
Client-focused reforms — four years in, still waiting for results
If firms’ processes work for ETFs but not for proprietary, illiquid or complex products, then the reforms have failed
- By: Harvey Naglie
- December 17, 2025 December 29, 2025
- 01:49