The costs would sink many small dealers, and advisors would be more vulnerable to lawsuits, lawyer says
Regulator will hold one session for investors, another for advisors, industry groups
Many investors don't understand standards of care
OSC’s Investor Advisory Panel releases survey findings on adviser/investor relationship
In part nine, Jim Ruta answers the question: What is the true meaning of fiduciary responsibility? He explains the one fundamental approach that will ensure you are meeting the fiduciary duty in your practice. Ruta spoke with Paula Virany, Investment Executive multimedia editor and video producer, at the TMX Broadcast Centre in Toronto. To ask a performance question to Jim email us atQ&A@investmentexecutive.com.
FSCP says there’s a need for straightforward products that consumers can trust
State regulators publish Congressional advocacy agenda
Regulator seeking public input on benefits and costs
FAIR Canada says dealers and advisors should be required to act in their clients’ best interest
An end to the confusion is near, says FPSC’s List