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A historic period of regulatory reform

New regulations will permanently reshape the advisor-client relationship

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Canadian investors continue to grow wealth through investment funds

Canadian investment fund sales and AUM saw a full rebound in 2020

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Why Canada needs a single SRO

Consolidating the MFDA and IIROC would ultimately benefit investors, writes Paul Bourque

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How are investors responding to enhanced disclosure?

Surveys show that the introduction of Fund Facts and CRM2 reports is achieving policy objectives

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Protecting older investors through a regulatory safe harbour

A safe harbour provision is necessary to ensure advisors act in their clients’ best interests 

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The case for self-regulation

Why SROs work well for investors and the industry

Canadian fund investors stay the course

Research shows investors are not susceptible to redemption runs

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Responsible investing: a growing priority for Canadians

Clear, consistent terminology and definitions must be established

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Regulators must clarify approach to outside business activities

Unclear rules could deter registered individuals from actively contributing to their communities

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Canadian investors value advice

Studies show investors are largely satisfied with the advice they receive

  • By: Paul Bourque
  • September 18, 2019 November 10, 2019
  • 16:36
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Thinking outside the box: the CSA as a fintech adopter

The CSA’s renewed system project is an opportunity for the regulator to innovate

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The value of asking clients for a trusted contact

Getting a contact name early can help advisors manage issues before they arise

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Applying a behavioural lens to improve financial disclosure

Research shows that behavioural insights can improve the way information is shared with investors

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Controlling the cost of regulation is a must

Regulators need to introduce systemic changes that will control the growth of regulation, improve regulatory efficiency and reduce the regulatory burden

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Leveraging behavioural economics research to enhance disclosure

Existing research shows that providing investors with clear and timely information, in a format that’s proven to be effective, can only lead to better outcomes

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Both mutual funds and ETFs can help achieve clients’ goals

Having both products as investment options enhances the ability of advisors to create portfolios that best meet their clients’ needs

  • By: Paul Bourque
  • September 13, 2018 November 10, 2019
  • 06:00
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Protecting older clients a critical task for advisors

The aging of Canada’s population raises challenging legal, regulatory and ethical questions

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Regulation of financial planners presents a great opportunity

A co-ordinated approach that doesn’t duplicate existing regulatory oversight will address an important regulatory gap in investor protection

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Enhanced disclosure is working

Recent research reveals there are more informed investors who ask questions and are more engaged in their investment decisions