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Keyword: Client-focused reforms

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confusion

No note-taking requirements in CFRs? Think again!

The rules are in code. Here’s how to crack the code

Regulation

OSC’s compliance work escalates

Risky firms, crypto platforms add to compliance division's workload

priority

Advisor incorporation among CIRO’s priorities for 2025

SRO integration and investor protection also on the agenda

Grant Vingoe, CEO of the Ontario Securities Commission. Photo by Paul Lawrence

OSC has conflicts of interest in its crosshairs

Newsmaker: CEO Grant Vingoe also wants to see binding decision-making authority for OBSI

Silhouette of man at sunset

OSC to increase focus on DIY investors

The regulator also wants to toughen enforcement and see better advice given at banks

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