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Keyword: Client-focused reforms

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advisor-client meeting

Why segmenting product shelves into peer groups can help meet regulatory challenges

client meeting

Advisors must “put the client’s interest first” when making a recommendation

suspicious client

Regulators are granting relief from certain CFR requirements to allow DSC sales until a ban takes effect

client meeting

The proposals are out for a 60-day comment period

Horn speaker for public relations sign symbol, vintage color - sun with blue sky

The regulator has adopted rule changes to end DSCs by June 2022

Justice scales and gavel by books

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

Horn speaker for public relations sign symbol, vintage color - sun with blue sky

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