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Keyword: Client-focused reforms

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Editorial: With several dealers defying the spirit of the client-focused reforms, have regulators finally learned their lesson?

announcement

Investor advocates and law firms worry about inadequate reporting

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The CSA chair provided details Wednesday about the new SRO and why he's "all in" on CRM3

Two business men shouting through megaphones

The advocacy group calls for action to preserve competition and protect investors

Wooden shelves on the wall with golden piggy bank, isolated on white, 3D illustration.

Loss of third-party fund distribution seen as "unintended consequence" in 2018

Skyline of the financial district

Editorial: By narrowing product lineups to proprietary funds alone, the banks are vulnerable to critics who allege their overwhelming market power stifles competition

client meeting

Transparency helps clients better understand the advisory relationship

  • By: Susan Silma
  • September 8, 2021 September 9, 2021
  • 16:10
rules and regulations

IIROC's guidance on CFR requirements should include more information on risk, dependants and ESG, submissions say

plan idea

Annual report from OSC compliance branch signals exam targets for the year ahead

advisor-client meeting

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