Client-focused reforms | Investment Executive https://www.investmentexecutive.com/tag/client-focused-reforms/ Canada's news source for financial professionals Wed, 08 Apr 2026 21:05:03 +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 CIRO seeks to tackle persistent policy challenges https://www.investmentexecutive.com/news/ciro-seeks-to-tackle-persistent-policy-challenges/ Wed, 08 Apr 2026 21:05:03 +0000 https://www.investmentexecutive.com/?p=535816 SRO sets out regulatory agenda for year ahead

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]]> Big banks take heat at Senate hearing https://www.investmentexecutive.com/news/big-banks-take-heat-at-senate-hearing/ Fri, 27 Mar 2026 13:36:23 +0000 https://www.investmentexecutive.com/?p=534973 Regulators lament shrinking shelves, eroding support for junior issuers

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]]> CIRO addresses cybersecurity, AI, CFR gaps and more https://www.investmentexecutive.com/news/ciro-addresses-cybersecurity-ai-cfr-gaps-and-more/ Tue, 17 Feb 2026 21:38:50 +0000 https://www.investmentexecutive.com/?p=531928 Annual compliance report emphasizes need for continuous cybersecurity training for dealer staff

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]]> How firms can close the gaps on client-focused reforms https://www.investmentexecutive.com/news/how-firms-can-close-the-gaps-on-client-focused-reforms/ Thu, 29 Jan 2026 19:02:32 +0000 https://www.investmentexecutive.com/?p=530588 Industry experts offer tips after regulators find shortcomings in suitability, KYP and KYC compliance

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]]> CIRO wants to tear down the barriers to online advice https://www.investmentexecutive.com/news/ciro-wants-to-tear-down-the-barriers-to-online-advice/ Wed, 17 Dec 2025 19:30:33 +0000 https://www.investmentexecutive.com/?p=527997 SRO launches review of policy framework for the provision of advice

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]]> 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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