Client-focused reforms | Investment Executive https://www.investmentexecutive.com/tag/client-focused-reforms/ Canada's news source for financial professionals Thu, 11 Dec 2025 18:13:43 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Client-focused reforms | Investment Executive https://www.investmentexecutive.com/tag/client-focused-reforms/ 32 32 FSRA revokes licence of insurance agent for allegedly misappropriating $700K from church members https://www.investmentexecutive.com/news/industry-news/fsra-revokes-licence-of-insurance-agent-for-allegedly-misappropriating-700k-from-church-members/ Thu, 11 Dec 2025 18:13:43 +0000 https://www.investmentexecutive.com/?p=527462 OSC had previously placed restrictions on the man as a mutual fund rep and volunteer minister

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]]> Industry falling short on CFR compliance: CSA, CIRO https://www.investmentexecutive.com/news/from-the-regulators/industry-falling-short-on-cfr-compliance-csa-ciro/ Wed, 10 Dec 2025 17:50:45 +0000 https://www.investmentexecutive.com/?p=527418 Review documents failings in meeting KYC, KYP, suitability requirements

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]]> Trade, geopolitics loom large in OSC’s agenda https://www.investmentexecutive.com/news/trade-geopolitics-loom-large-in-oscs-agenda/ Fri, 28 Nov 2025 19:56:55 +0000 https://www.investmentexecutive.com/?p=526550 Regulator publishes draft priorities, highlighting competitive concerns

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]]> Concerns follow regulators’ survey of mutual fund reps https://www.investmentexecutive.com/news/concerns-follow-regulators-survey-of-mutual-fund-reps/ Wed, 29 Oct 2025 19:35:36 +0000 https://www.investmentexecutive.com/?p=523807 Findings put bank branches’ proprietary shelves back in the spotlight, highlight lack of MER knowledge

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]]> Proprietary shelves, sales pressure not a problem, most retail planners say https://www.investmentexecutive.com/in-depth_/report-cards/proprietary-shelves-sales-pressure-not-a-problem-retail-planners-say/ Tue, 21 Oct 2025 13:40:37 +0000 https://www.investmentexecutive.com/?p=523169 But banks’ big mutual fund fees are, investor advocate says

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]]> Firms falling short on KYC, suitability: BCSC https://www.investmentexecutive.com/news/from-the-regulators/firms-falling-short-on-kyc-suitability-bcsc/ Wed, 01 Oct 2025 18:23:53 +0000 https://www.investmentexecutive.com/?p=521650 Regulator issues report card on Client Focused Reforms compliance

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]]> We’re not there yet on plain language https://www.investmentexecutive.com/newspaper_/comment-insight/were-not-there-yet-on-plain-language/ Mon, 15 Sep 2025 16:01:00 +0000 https://www.investmentexecutive.com/?p=519504 Editorial: There is room for improvement when it comes to customer-friendly communications in financial services

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]]> Bank reps under pressure to sell: OSC and CIRO https://www.investmentexecutive.com/news/from-the-regulators/bank-reps-under-pressure-to-sell-osc-and-ciro/ Wed, 09 Jul 2025 13:00:00 +0000 https://www.investmentexecutive.com/?p=514839 Research "showed a statistically significant association" between sales pressure and recommendations not in client interests

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]]> IAP highlights CFRs, OBSI, geopolitical risks https://www.investmentexecutive.com/news/from-the-regulators/iap-highlights-cfrs-obsi-geopolitical-risks/ Wed, 28 May 2025 13:26:37 +0000 https://www.investmentexecutive.com/?p=510734 Binding authority for investor dispute resolution body OBSI should be priority, investor advocacy group says

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]]> Expanding access to advice on CIRO’s agenda https://www.investmentexecutive.com/news/from-the-regulators/expanding-access-to-advice-on-ciros-agenda/ Thu, 10 Apr 2025 20:59:05 +0000 https://www.investmentexecutive.com/?p=506843 SRO details its policy priorities for fiscal 2026

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