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
IIROC's guidance on CFR requirements should include more information on risk, dependants and ESG, submissions say
Annual report from OSC compliance branch signals exam targets for the year ahead
Why segmenting product shelves into peer groups can help meet regulatory challenges
Advisors must “put the client’s interest first” when making a recommendation
Regulators are granting relief from certain CFR requirements to allow DSC sales until a ban takes effect
The proposals are out for a 60-day comment period
The regulator has adopted rule changes to end DSCs by June 2022