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Keyword: Client-focused reforms

26 results found
businesswoman thinking

Advisors can deliver better outcomes for their clients by getting ahead of their regulatory obligations

  • By: Susan Silma
  • November 20, 2019 November 20, 2019
  • 14:59
mature businessman thinking at desk in office

Technology solutions can help advisors meet compliance obligations

  • By: David Reeve
  • November 8, 2019 November 17, 2019
  • 16:20
mature businessman thinking at desk in office

Regulation will begin to be phased in by this yearend

Editorial

  • By: IE Staff
  • October 11, 2019 November 12, 2019
  • 00:05
smiling young couple shaking hands with investment advisor

Experts weigh in on what the new CFRs mean for advisors and investors

usiness team in a meeting looking at a sheet of paper

The rules would explicitly require firms to resolve material conflicts of interest in the best interest of their clients

Stacked white books on rules and regulations

The OSC released its statement of priorities for 2019-2020 on Thursday

guidelines and regulations binders

The regulator says it will continue to work with the CSA on deferred sales charges and trailers to discount brokers

hand holding a megaphone

There’s support for the CSA’s proposals, but criticism of regulators

Business woman showing stock market financial situation

PMAC wants CSA to leave pooled funds out of client-focused reforms

  • By: IE Staff
  • December 14, 2018 November 13, 2019
  • 16:00