How will firms be able to address conflicts of interest in four common scenarios?
A pair of notices offer direction for investment dealers and fund managers
Panel expresses concern that DSC products may be sold more aggressively in advance of the prohibition being fully implemented
Panels will examined the CSA’s proposed registration and business conduct regimes
The move is intended to reduce regulatory uncertainty following the CSA’s plan to propose rule changes
The new business conduct regime would set out certain requirements for those dealing in the derivatives market
The three academics will determine the design of the pilot study using the U.S SEC’s proposed transaction fee pilot as a basis
A former contractor accessed personal and business information electronically on the web-based system registrants use to file information with regulators
Stakeholders expressed “general support” during consultation
There are key steps advisors can take now to be ahead of the game and deliver better outcomes for clients