Ontario's Ministry of Finance says it is still assessing the OSC's report a year after it was submitted
Advisors must show that clients understood an investment and its risks
Despite creating additional work for advisors, the new rules aren't affecting business processes significantly
The CSA is reviewing distribution arrangements for in-house funds
Significant product changes offer opportunities to engage clients, get to know them better and address suitability
While some advisors have criticized banks for eliminating active selling of third-party products, many are happy with in-house selection
Advisors ignore this important know-your-client item to their detriment
Three-year plan focuses on CFR enforcement, dispute resolution and crypto
Leverage digital momentum to capitalize on trends
Fulfil your KYC obligations without infringing on client privacy