Home Newspaper Mid-November 2020

Mid-November 2020


Allegations will now be published in advance of disciplinary hearings

OSC could see split roles for chair & CEO

Time to think bigger on SRO reform?

A goal for the final report is to spur more independent dealers

Regulators’ Report Card

Deadlines to implement the client-focused reforms were extended, and dealers are working out how to comply with the new requirements

Adapting to the pandemic has revealed new efficiencies

From e-signatures to artificial intelligence, regulators are trying to get ahead

Building Your Business

Nizar Esmail has lived through market swings and helps his clients find opportunities during times of turmoil

While your compliance department may seem as if it’s working against you, compliance is essential to protecting your clients and your business

Focus on Products

China, Korea and Taiwan have proven resilient, but India continues to struggle

The ETF market has diversified significantly in recent years

Canada ranks eighth in the world for issuance of the products

Comment & Insight

Editorial: Recent consultation on reforming the SRO framework reveals that a full-scale renovation is needed

More seats come with more problems as the province tackles financial and environmental challenges