Litigation lawyers are divided about the potential effects of a new rule imposing a best interest test on advisors
The CSA and the OSC have been dealing with two hot-button topics. Their positions are expected to be revealed soon
Review of best interest standard we will consider the impact that advisor titles and proficiency standards have on investor protection
One of the arguments from the financial services industry against some of the more radical reforms currently under consideration is that regulators should wait and see whether changes already in the works will solve their concerns. If so, some suggest, more invasive interventions may be unnecessary. For example, at an industry roundtable hosted by the […]
The third OSC roundtable prompted a discussion on designations, fees and enforcement
Former OSC chairman tapped to chair Liquor Control Board of Ontario
Discussion will focus on whether dealers and advisors should be subject to a best interest standard when providing advice to retail clients, and the alternatives to such a standard
Selling products outside the jurisdiction of securities regulators may seem desirable
U.S. industry is generally willing to bear costs in order to benefit retail clients, lobby group says
Regulator releases final Statement of Priorities for 2013-14