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Letter: Misleading sales pitches impede investor decisions

To be seen as professionals, advisors must be reasonable and transparent, writes John De Goey

Entrance to Financial Services Regulatory Authority of Ontario

Letter: Ontario’s title protection framework is long overdue

Minimum standards for credentialing bodies, and the robust process for approving those bodies, were determined after extensive consultations, writes Huston Loke

  • By: Huston Loke
  • September 23, 2022 September 23, 2022
  • 10:22
Close up of businessman hands making handshake - greeting, dealing, merger and acquisition concepts

Letter: Policy implementation shouldn’t be a partisan issue

Cited risks from collaboration with industry are unfounded, writes Paul Bourque

push off cliff

Letter: Investors pay the price for rules that should never have existed

The industry must learn to better sense investor needs instead of reacting to regulations, writes Ken Kivenko

Ontario Legislative Building at Queens Park in Toronto Ontario

Letter: Lament over modernization task force is misplaced

Disappointment rests on a mistaken presumption, writes Ian Russell

Canadian Parliament Building at Dusk

Letter: Greatest climate-related risk is government and regulatory interference

Humans can continue to adapt to the historically modest changes recently seen in our climate, writes David McGruer

men rolling heavy balls up ramp and stairs

Letter: An investor’s perspective on the regulatory treadmill

In most instances, the industry has only itself to blame for the protracted and costly nature of policymaking in this country, writes Harvey Naglie

10380127 - building silhouettes of a city and flag

Letter: Time for a national voice for Main Street investors

An investor advisory council would allow retail investors to speak on their own behalf and promote active dialogue between regulators and investors, writes Ken Kivenko

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Letter: Industry has made significant progress on strategic issues throughout pandemic

Rebounding equities markets and continued demand for wealth services were major factors in strong industry performance, writes Ian Russell


Letter: Investment industry well-positioned for the post-Covid recovery

Strong performance in 2020 bodes well for the year ahead, writes Ian Russell

Wooden dominos falling

Letter: CCMR needs a strategic approach

Either develop a plan to complete the project, or scrap it entirely, writes Ian Russell

  • By: Ian Russell
  • October 14, 2020 October 14, 2020
  • 11:47
Saskatchewan field with old bridge

Letter: Fundamental changes to regulatory landscape in the air

The interests of portfolio managers' clients are better protected under the current system of regulatory oversight, argues PMAC president

Time management concept. Composition with documents, stationary and alarm clock on table

Letter: Time to act on structural reform

Ian Russell responds to comments on his opinion piece on SRO consolidation

confused man

Letter: What’s the rush to merge IIROC and MFDA?

SRO reform should serve the public interest and investors’ needs, writes John Carson of FAIR Canada

Business man at a fork in the road

Letter: SROs at a crossroads

Investors want regulation that will watch their back and a regulator they can trust, writes Ken Kivenko

Cropped shot of a cheerful elderly woman hugging her husband who's in a wheelchair at home during the day

Letter: Proposed rules on vulnerable clients need clarification

The CSA framework is an important first step, but more details are required, writes the vice president of IIAC

Business partnership meeting. Picture businessmans handshake. Successful businessmen handshaking after good deal. Horizontal, blurred (Business partnership meeting. Picture businessmans handshake. Successful businessmen handshaking after good deal. Ho

Letter: SRO merger makes sense

Streamlined regulations would benefit the industry and clients, writes Jim Rogers

business people standing in line under a magnifying glass

Letter: More rules don’t necessarily mean better investor protection

The regulatory response to Covid-19 has improved the investor experience, writes Ian Russell

tax inspector investigating financial documents through magnifying glass, forensic accounting or financial forensics, inspecting offshore company financial papers, documents and reports.

Is self-regulation working in the public interest?

IIROC’s findings of industry misconduct require a stronger response

Downtown office buildings Toronto

The slow death of Canada’s banking ombudsman

The independent dispute resolution service has been abandoned by most of the big Canadian banks

Advisors embracing technology section image

Letter: Advisors must embrace “factfulness”

Many advisors in Canada are providing the same kind of advice they offered 20 years ago

Stacked white books on rules and regulations

Regulatory costs weaken portfolio returns: IIAC

Aggressive deregulation agenda would not interfere with completion of the client-focused reforms, association president argues

senior couple sitting at table with financial advisor

Clients have spoken — and regulators should listen

IFIC’s recent Canadian Mutual Fund Investor Survey found that investors are very satisfied with their advisors and prefer to pay their fees indirectly

Bias on embedded commissions ban?

Investment industry players that favour a ban are either far removed from the average investor or could benefit directly from it

  • By: Mark Kent
  • July 17, 2017 November 12, 2019
  • 13:40
Letters to the editor: IIROC firms already meet the best interests of their clients

IIROC firms already meet the best interests of their clients

Regulators’ proposals to impose a best interests standard would be “duplicative and confusing”

  • By: Ian Russell
  • February 28, 2017 November 12, 2019
  • 17:00