Client-focused reforms – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Mon, 08 Apr 2024 19:35:33 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 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 32 32 Do your notes pass the sniff test? https://www.investmentexecutive.com/inside-track_/ellen-bessner/do-your-notes-pass-the-sniff-test/ Mon, 08 Apr 2024 19:35:33 +0000 https://www.investmentexecutive.com/?p=483363 Here are three steps to prove suitability

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]]> Binding dispute resolution a bitter pill for industry to swallow https://www.investmentexecutive.com/newspaper_/news-newspaper/binding-dispute-resolution-a-bitter-pill-for-industry-to-swallow/ Mon, 11 Mar 2024 04:00:00 +0000 https://www.investmentexecutive.com/?p=481446 CSA’s proposal to empower OBSI elicits wave of criticism

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]]> Regulators update warning on advisor awards https://www.investmentexecutive.com/news/from-the-regulators/regulators-update-warning-on-advisor-awards/ Fri, 08 Dec 2023 22:52:10 +0000 https://www.investmentexecutive.com/?p=477063 Participating in recognition programs at all could be a compliance issue

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]]> OSC aces audit follow-up, government needs work https://www.investmentexecutive.com/news/from-the-regulators/osc-aces-audit-follow-up-government-needs-work/ Wed, 06 Dec 2023 19:42:17 +0000 https://www.investmentexecutive.com/?p=476695 Decision on tougher investor protection measures coming by end of 2025

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]]> A perfect storm lies ahead for advisors and dealers https://www.investmentexecutive.com/inside-track_/ellen-bessner/a-perfect-storm-lies-ahead-for-advisors-and-dealers/ Mon, 20 Nov 2023 20:00:22 +0000 https://www.investmentexecutive.com/?p=475621 Mitigate your risk amid potential enforcement delays, CFR audits

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]]> OSC priorities include lifting limitations on advice https://www.investmentexecutive.com/news/from-the-regulators/osc-priorities-include-lifting-limitations-on-advice/ Thu, 16 Nov 2023 20:44:05 +0000 https://www.investmentexecutive.com/?p=475492 Regulators to explore the regulation, provision of advice online

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]]> Patron saint of investor protection passes away https://www.investmentexecutive.com/news/from-the-regulators/patron-saint-of-investor-protection-passes-away/ Mon, 23 Oct 2023 19:11:50 +0000 https://www.investmentexecutive.com/?p=473832 Groundbreaking securities lawyer, Glorianne Stromberg, dies

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]]> CSA finalizes derivatives conduct rules https://www.investmentexecutive.com/news/from-the-regulators/csa-finalizes-derivatives-conduct-rules/ Thu, 28 Sep 2023 17:50:35 +0000 https://www.investmentexecutive.com/?p=472324 Canada remained the last G20 country without conduct standards for OTC derivatives markets

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]]> Crackdown on empty accolades a win for clients and advisors alike https://www.investmentexecutive.com/newspaper_/comment-insight/crackdown-on-empty-accolades-a-win-for-clients-and-advisors-alike/ Mon, 28 Aug 2023 04:09:00 +0000 https://www.investmentexecutive.com/?p=470333 Editorial: With their warning, the regulators acknowledged that pay-to-play awards are not harmless puffery

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]]> Most firms falling short in conflict compliance https://www.investmentexecutive.com/news/from-the-regulators/most-firms-falling-short-in-conflict-compliance/ Thu, 03 Aug 2023 18:22:05 +0000 https://www.investmentexecutive.com/?p=469678 Regulators found firms are failing to identify and manage conflicts in clients' best interests

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