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
IIROC to respond to concerns regarding the scope of dealings that are prohibited by the current rules