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Keyword: Client-focused reforms

99 results found
Big binders

Decision on tougher investor protection measures coming by end of 2025

Mitigate your risk amid potential enforcement delays, CFR audits

three colleagues discussing their business prospects and looking at laptop screen

Regulators to explore the regulation, provision of advice online

Groundbreaking securities lawyer, Glorianne Stromberg, dies

rules and regulations

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

winner celebrate

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

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

Magnifying glass image

Report on industry conflicts to be published soon with CSA, CIRO

investor restitution challenges

Low collection rates and potentially high administration costs raise concern

investor protection

Editorial: regulators need to empower OBSI to help harmed investors

  • By: IE Staff
  • June 2, 2023 May 31, 2023
  • 10:20