Guest column: Time is right for a common regulator
Consistency and efficiency are the new priorities in securities regulation
- By: Ian Russell
- March 31, 2013 November 17, 2019
- 23:00
Consistency and efficiency are the new priorities in securities regulation
Are dealers getting what they need from the regulators?
Rocky markets, technology and changing demographics mean advisors need to boost client engagement
Advisors and their firms should avoid the growing trend of blaming clients if it is their own processes that are at fault
The CRM will help ensure a consistent standard of conduct in the investing process and enhance respect for advisors and firms
The new Fund Facts document is a major step forward; it should be tested and reviewed before further changes are made
Canadian financial regulators are hampered by the gridlock that comes with fragmentation. Independent oversight could promote new ways of thinking
Existing protections should not be removed until the new document has been improved to ensure investors have the information they need
Shareholders are taking increasing interest in the management of companies, and many are prepared to back their demands for change through proxy battles
Both consumers and the stability of insurance companies would benefit from decisive action to regulate a sector that has escaped oversight for too long
An expert working group is looking at ways to promote stability by making structural changes
Guest column: Comparing fees in the U.S. and Canada
New research suggests Canadians pay fees at the same rate as Americans, and that the U.S. model could cost clients more over time