Keyword: Client-focused reforms

81 results found
compliance puzzle

BCSC compliance reviews find CRM2 failings alongside registration and marketing gaffes

Wooden blocks with percentage sign and arrow up, financial growth, interest rate increase, inflation concept

Tech frees advisors to focus on building successful practices

rules and regulations

Dealers must prepare for ongoing CFR reviews and expiring pandemic exemptions, priorities report says

criticism

Advocates and industry agree: Think bigger about the IAP

business growth

Stressed about the client-focused reforms? Try this different approach

handshaking and exchanging contract documents

By leveraging the regulations, you can build deeper relationships and reinforce the value of your advice

  • By: Susan Silma
  • February 2, 2022 February 2, 2022
  • 15:00
piggy banks proliferate

Institutions respond to tied selling allegations

compliance puzzle

The SRO provides clarity ahead of new year-end requirements, noting how products, fees and even ESG should be discussed

flag of ontario flying high on a flag post, against blue sky

Report casts doubt on regulator’s independence

usiness team in a meeting looking at a sheet of paper

Ontario's auditor general said the OSC could have acted sooner to address "hidden and unfair" fund fees