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Understanding the CSA’s conflicts of interest proposals

In part three of a six-part video series on regulatory changes, Dan Richards, CEO, Client Insights and Rebecca Cowdery, partner at Borden Ladner Gervais LLP, discuss the CSA's proposals concerning conflicts of interest and how advisors can get ready for a higher standard.

FAIR Canada not in favour of regulators’ stance on best interest standard

The SRO will make certain that its rules and guidance put the best interest of clients ahead of dealers and reps

The OSC, the MFDA and IIROC are planning reviews of fees and incentives that could negatively affect clients

FSCO examinations have found that 10% of insurance agents were not disclosing actual or potential conflicts of interest to their clients in writing, as they’re required to do

Cooling off periods introduced on key staff who leave for the private sector

Regulator to review brokerage practices for addressing conflicts of interest

New study argues White House report’s cost estimates not fully supported by academic literature

Incentive structure created conflicts of interest, FCA says

U.S. regulator continues to find shortcomings with firms aligning their interests with their customers

Amendments balance the investor’s right to choose with the need to protect investors from conflicts of interest