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
SRO seeks comment on proposals to adopt client-focused reforms
IIROC publishes its version of the CSA's CFRs, which take effect in 2021
Sometimes it’s suitable for your clients’ investments to be less risky than their maximum risk tolerance
The client-focused reforms will require you to demonstrate that you’ve considered a “reasonable range of alternatives”
CSA, SROs provide guidance on client-focused reforms requirements