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
Citing continued consumer harm and a lack of trust, regulator plans tougher consumer protection requirements
Experts at an InvestorCOM webinar discussed how firms are preparing for the client-focused reforms
IIROC outlined the challenges for firms and regulators in a new report