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Keyword: Client-focused reforms

102 results found
Dispute at desk

Do your notes pass the sniff test?

Here are three steps to prove suitability

see-saw with king chess piece and pawns

Binding dispute resolution a bitter pill for industry to swallow

CSA’s proposal to empower OBSI elicits wave of criticism

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Regulators update warning on advisor awards

Participating in recognition programs at all could be a compliance issue

Big binders

OSC aces audit follow-up, government needs work

Decision on tougher investor protection measures coming by end of 2025

A perfect storm lies ahead for advisors and dealers

Mitigate your risk amid potential enforcement delays, CFR audits

three colleagues discussing their business prospects and looking at laptop screen

OSC priorities include lifting limitations on advice

Regulators to explore the regulation, provision of advice online

Patron saint of investor protection passes away

Groundbreaking securities lawyer, Glorianne Stromberg, dies

rules and regulations

CSA finalizes derivatives conduct rules

Canada remained the last G20 country without conduct standards for OTC derivatives markets

winner celebrate

Crackdown on empty accolades a win for clients and advisors alike

Editorial: With their warning, the regulators acknowledged that pay-to-play awards are not harmless puffery

  • By: IE Staff
  • August 28, 2023 August 24, 2023
  • 00:09
Blackboard rating

Most firms falling short in conflict compliance

Regulators found firms are failing to identify and manage conflicts in clients' best interests