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Keyword: Client-focused reforms

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Sometimes it’s suitable for your clients’ investments to be less risky than their maximum risk tolerance

businesswoman thinking

The client-focused reforms will require you to demonstrate that you’ve considered a “reasonable range of alternatives”

compliance puzzle

CSA, SROs provide guidance on client-focused reforms requirements

tax inspector investigating financial documents through magnifying glass, forensic accounting or financial forensics, inspecting offshore company financial papers, documents and reports.

The regulator is launching a pair of advisory committees to inform policy-making

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

Editorial

  • 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