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Keyword: Client-focused reforms

33 results found
Businessman takes bag of money from another businessman.

Proposal is one of several set out in SRO's priorities for the current year

compliance puzzle

Regulators will use feedback to develop guidance

rules and regulations

Conflict provisions have been delayed by six months, while disclosure has been pushed back by a year


  • By: IE Staff
  • January 17, 2020 January 14, 2020
  • 00:02
Happy businesswoman handshaking with client closing deal in an office interior with a window in the background

Investor protection and industry innovation highlight the SRO's compliance priorities

business team corporate organization working concept

Engaging with regulators is an important part of ensuring new rules are implemented effectively

  • By: Ian Russell
  • December 18, 2019 December 18, 2019
  • 16:13
Stacked white books on rules and regulations

Amendments include changes to suitability, know-your-client, conflict of interest and disclosure provisions

businesswoman thinking

Advisors can deliver better outcomes for their clients by getting ahead of their regulatory obligations

  • By: Susan Silma
  • November 20, 2019 November 20, 2019
  • 14:59
mature businessman thinking at desk in office

Technology solutions can help advisors meet compliance obligations

mature businessman thinking at desk in office

Regulation will begin to be phased in by this yearend