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Week of September 13, 2018
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From the Regulators
Ontario pushes back on CSA’s proposed DSC ban
The province’s new government has come out against regulators’ proposals to ban DSCs on mutual funds, which were released for public comment Thursday
September 13, 2018

News
Remaking the industry
CSA anticipates its proposals will add costs for the industry
July 27, 2018

From the Regulators
FAIR Canada seeks clarity on client-focused reforms
How will firms be able to address conflicts of interest in four common scenarios?
August 30, 2018

Ellen Bessner
Steer clear of conflicts of interest
Take these four steps to avoid mistakes that can cost advisors their livelihood
September 4, 2018

Susan Silma
CSA’s proposed reforms could have major implications
There are key steps advisors can take now to be ahead of the game and deliver better outcomes for clients
July 26, 2018

Ian Russell
Dealers may narrow offerings in response to regulatory proposals
Many independent firms may restructure or retool their wealth-management operations to mitigate the negative impacts of the client-focused reforms
August 16, 2018

Industry News
CSA proposals will transform investment industry: Russell
Lower revenue and higher compliance costs may force smaller firms out of business and impact advisor compensation
July 12, 2018

From the Regulators
IIROC to provide further guidance on conflicts of interest
June 25, 2018

Industry News
Split reactions to CSA proposals
June 22, 2018

From the Regulators
CSA stands pat on embedded commissions
June 21, 2018

Special Reports
The end of embedded commissions? How we got here
The Canadian Securities Administrators has decided not to ban embedded commissions after all


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