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Week of June 05, 2021
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Editor’s choice
From the Regulators
Ex-fund rep sanctioned over dealings with dad
An advisor was permanently banned after engaging in personal financial dealings with a client
June 3, 2021
Know your product: challenges and opportunities
David Reeve
Know your product: challenges and opportunities
Reducing product offerings for the sake of KYP is unlikely to serve the investor’s best interest
May 28, 2021
Purpose looks to fill retirement income gap with longevity fund
Products
Purpose looks to fill retirement income gap with longevity fund
The fund has characteristics of an annuity or pension, with monthly lifetime distributions when investors turn 65
June 1, 2021
 
How to avoid becoming an enforcement statistic
Ellen Bessner
How to avoid becoming an enforcement statistic
Regulators measure their success based in part on how many enforcement matters they open and prosecute
May 28, 2021
From the Regulators
OSC finalizes DSC ban
The regulator has adopted rule changes to end DSCs by June 2022
June 3, 2021
Industry News
Title protection in Ontario on track for 2022
The regulator maintains the LLQP likely won't meet the standard for "financial advisor"
June 1, 2021
From the Regulators
When does poor service become a regulatory issue for online brokerages?
May 28, 2021
Paul Bourque
The case for keeping our current national regulatory system
June 2, 2021
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