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.
The SRO will make certain that its rules and guidance put the best interest of clients ahead of dealers and reps
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
New study argues White House report’s cost estimates not fully supported by academic literature
Incentive structure created conflicts of interest, FCA says
Amendments balance the investor’s right to choose with the need to protect investors from conflicts of interest