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Keyword: Client-focused reforms

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Citing continued consumer harm and a lack of trust, regulator plans tougher consumer protection requirements

Close-up Of Two Businessman Analyzing Graph On Digital Tablet

Experts at an InvestorCOM webinar discussed how firms are preparing for the client-focused reforms

OSC corporate finance report aims to aid compliance

IIROC outlined the challenges for firms and regulators in a new report

rules and regulations

SRO seeks comment on proposals to adopt client-focused reforms

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IIROC publishes its version of the CSA's CFRs, which take effect in 2021

Businesswoman umbrella orange arrow insurance

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