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Keyword: Conflicts of interest

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Central counterparties should consider potential conflicts in various relationships

IIROC reaches settlement with three former All Group reps

The former BMO Nesbitt Burns advisor admitted he sold new issues to clients, in part, to generate additional commissions for himself and the firm

SEC names co-directors of enforcement

A new report from the Public Investors Arbitration Bar Association says that six of FINRA’s 13 current and immediate past public governors “appear to have conflicts of interest”

Take the necessary steps to know your clients thoroughly and determine if one family member’s actions could put you in a conflict of interest situation

FPSC makes changes to its board of directors

New notice cites importance of establishing special committees of independent directors to protect the interests of minority shareholders

OBSI plans to improve resolution process

Streamlining of rules, further guidance should be considered

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

Review of compensation-related conflicts reveals that disclosure alone is not sufficient

The aim is to avoid conflicts of interest when selecting reps to attend conferences

Compensation models reward reps for selling certain products

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.