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Keyword: know your product

28 results found

Mitigate your risk amid potential enforcement delays, CFR audits

three colleagues discussing their business prospects and looking at laptop screen

Regulators to explore the regulation, provision of advice online

Shot of a group of young businesspeople using a laptop during a meeting in the boardroom of a modern office

Tech-assisted recommendations can improve client outcomes

  • By: David Reeve
  • September 25, 2023 September 25, 2023
  • 15:00
Close up of businessman hands making handshake - greeting, dealing, merger and acquisition concepts

Deal brings Conquest software to CapIntel platform

  • By: IE Staff
  • August 30, 2023 August 29, 2023
  • 09:01
Hand stopping dominos

As OSC review gathers dust, regulators continue to question the ethics of proprietary-only product shelves

  • By: Katie Keir
  • August 23, 2023 August 23, 2023
  • 12:00
Blackboard rating

Regulators found firms are failing to identify and manage conflicts in clients' best interests

Magnifying glass image

Report on industry conflicts to be published soon with CSA, CIRO

Disclosure form

Opinion: The cease-trade order on Emerge ETFs provides a cautionary tale for investors and advisors

ESG building blocks

New regulations and a changing market environment are leading to new types of funds

magnifying glass

A review identified gaps in addressing conflicts associated with proprietary products