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
Help clients name a trusted contact person
Editorial: With several dealers defying the spirit of the client-focused reforms, have regulators finally learned their lesson?
Investor advocates and law firms worry about inadequate reporting
The CSA chair provided details Wednesday about the new SRO and why he's "all in" on CRM3
The advocacy group calls for action to preserve competition and protect investors
Loss of third-party fund distribution seen as "unintended consequence" in 2018
Editorial: By narrowing product lineups to proprietary funds alone, the banks are vulnerable to critics who allege their overwhelming market power stifles competition
Transparency helps clients better understand the advisory relationship