Changes meant minimize differences with IIROC CRM
New rule meant to clarify IIROC’s position regarding the management of conflicts of interest
Advisors uneasy about MFDA’s public consultation process
Investors deserve comparable standard of protection whether a is registrant under MFDA or IIROC
But some are baffled as to just what the regulators are trying to accomplish
Urges IDA to adopt a flexible approach to performance reporting requirements
The Investment Dealers Association of Canada is extending the comment period for its so-called Client Relationship Model (CRM) to the end of May.The CRM, which was first published for comment in late February, is essentially the self-regulatory organization’s effort to implement some of the reforms proposed in the Ontario Securities Commission’s Fair Dealing Model. Among […]
Industry facing four schemes
The industry and investor advocates are displeased with the IDA’s proposal, which means it may have finally struck the right balance
Proposed disclosure requirements would result in few clients actually reading and understanding document, IIAC says