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Keyword: Conflicts of interest

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decreasing cash money with businessmen in various activities

Many independent firms may restructure or retool their wealth-management operations to mitigate the negative impacts of the client-focused reforms

a business man running ahead of the crowd

There are key steps advisors can take now to be ahead of the game and deliver better outcomes for clients

professional woman meeting male advisor

Lower revenue and higher compliance costs may force smaller firms out of business and impact advisor compensation

business angel against the sky

In its annual statement of priorities, regulator reinforces its commitment to CSA’s proposed reforms and bolstering banking ombudsman

business people standing in line under a magnifying glass

The SRO also plans to review the regulation of advice to ensure the rules enable innovation in the industry

senior couple sitting at table with financial advisor

Industry groups and investor advocates agreed on some of the proposed rules, but opinions were divided on the decision to allow embedded commissions to remain in place

financial advisor explaining investment plan to couple on laptop at office desk

But regulators are banning DSCs and enhancing regulatory requirements for registrants to avoid situations that place them in a conflict of interest

Financial analysis of charts and graphs on tablet illustration

Darcy Hulston posits that regulators may eventually crack down on the practice of advisors selling products their firms manufacture

guidelines and regulations binders

The practice raises concerns regarding conflicts of interests for dealers and corporate governance for companies

Digital design economic Stock market chart

Conflicts during the capital raising process can damage investor confidence

  • February 21, 2018 April 16, 2018
  • 12:00