Keyword: Client-focused reforms

74 results found
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

business man using magnifying glass to inspect documents

The regulator is set to examine banks' product shelves and tied selling

Queen's park, Ontario

The Ontario government has asked the OSC to review banks' fund lineups, tied selling

Modern urban skyscrapers in downtown Chicago from below to the blue summer sky. Sun reflecting in the glass facades of the urban futuristic buildings. Chicago, Illinois, USA

OSC head expressed concern about banks' response to the client-focused reforms


The CFRs are really about formalizing and documenting processes to prove they’re followed

advisor-client meeting

Help clients name a trusted contact person

  • By: Susan Silma
  • November 3, 2021 February 2, 2022
  • 15:00
notebook start again

Editorial: With several dealers defying the spirit of the client-focused reforms, have regulators finally learned their lesson?

  • By: IE Staff
  • October 12, 2021 December 3, 2021
  • 00:15

Investor advocates and law firms worry about inadequate reporting