Keyword: Client-focused reforms

53 results found
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The regulator has adopted rule changes to end DSCs by June 2022

Justice scales and gavel by books

Citing continued consumer harm and a lack of trust, regulator plans tougher consumer protection requirements

Close-up Of Two Businessman Analyzing Graph On Digital Tablet

Experts at an InvestorCOM webinar discussed how firms are preparing for the client-focused reforms

OSC corporate finance report aims to aid compliance

IIROC outlined the challenges for firms and regulators in a new report

rules and regulations

SRO seeks comment on proposals to adopt client-focused reforms

Horn speaker for public relations sign symbol, vintage color - sun with blue sky

IIROC publishes its version of the CSA's CFRs, which take effect in 2021

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Sometimes it’s suitable for your clients’ investments to be less risky than their maximum risk tolerance

businesswoman thinking

The client-focused reforms will require you to demonstrate that you’ve considered a “reasonable range of alternatives”

compliance puzzle

CSA, SROs provide guidance on client-focused reforms requirements

tax inspector investigating financial documents through magnifying glass, forensic accounting or financial forensics, inspecting offshore company financial papers, documents and reports.

The regulator is launching a pair of advisory committees to inform policy-making