know your product – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Wed, 17 Apr 2024 19:40:09 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png know your product – Investment Executive https://www.investmentexecutive.com 32 32 CSA extends crypto firms’ stablecoin deadline https://www.investmentexecutive.com/news/from-the-regulators/csa-extends-crypto-firms-stablecoin-deadline/ Wed, 17 Apr 2024 18:12:51 +0000 https://www.investmentexecutive.com/?p=484176 Crypto platforms get until Oct. 31 to meet CSA's interim rules

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]]> Potential class action against fund reps revived https://www.investmentexecutive.com/news/from-the-regulators/potential-class-action-against-fund-reps-revived/ Thu, 21 Dec 2023 20:14:17 +0000 https://www.investmentexecutive.com/?p=477768 Appeal Court finds alleged fiduciary duty breach can be basis for class action

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]]> OSC aces audit follow-up, government needs work https://www.investmentexecutive.com/news/from-the-regulators/osc-aces-audit-follow-up-government-needs-work/ Wed, 06 Dec 2023 19:42:17 +0000 https://www.investmentexecutive.com/?p=476695 Decision on tougher investor protection measures coming by end of 2025

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]]> A perfect storm lies ahead for advisors and dealers https://www.investmentexecutive.com/inside-track_/ellen-bessner/a-perfect-storm-lies-ahead-for-advisors-and-dealers/ Mon, 20 Nov 2023 20:00:22 +0000 https://www.investmentexecutive.com/?p=475621 Mitigate your risk amid potential enforcement delays, CFR audits

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]]> OSC priorities include lifting limitations on advice https://www.investmentexecutive.com/news/from-the-regulators/osc-priorities-include-lifting-limitations-on-advice/ Thu, 16 Nov 2023 20:44:05 +0000 https://www.investmentexecutive.com/?p=475492 Regulators to explore the regulation, provision of advice online

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]]> Leverage compliance tech to grow your business https://www.investmentexecutive.com/inside-track_/david-reeve/leverage-compliance-tech-to-grow-your-business/ Mon, 25 Sep 2023 19:00:26 +0000 https://www.investmentexecutive.com/?p=472110 Tech-assisted recommendations can improve client outcomes

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]]> Conquest partners with CapIntel https://www.investmentexecutive.com/news/industry-news/conquest-partners-with-capintel/ Wed, 30 Aug 2023 13:01:00 +0000 https://www.investmentexecutive.com/?p=470824 Deal brings Conquest software to CapIntel platform

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]]> Big Six branches continue to bar sales of non-proprietary product https://www.investmentexecutive.com/news/industry-news/big-six-branches-continue-to-bar-sales-of-non-proprietary-product/ Wed, 23 Aug 2023 16:00:17 +0000 https://www.investmentexecutive.com/?p=470381 As OSC review gathers dust, regulators continue to question the ethics of proprietary-only product shelves

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]]> Most firms falling short in conflict compliance https://www.investmentexecutive.com/news/from-the-regulators/most-firms-falling-short-in-conflict-compliance/ Thu, 03 Aug 2023 18:22:05 +0000 https://www.investmentexecutive.com/?p=469678 Regulators found firms are failing to identify and manage conflicts in clients' best interests

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]]> CFRs, crypto firms top OSC compliance reviews https://www.investmentexecutive.com/news/from-the-regulators/cfrs-crypto-firms-top-osc-compliance-reviews/ Thu, 27 Jul 2023 19:37:31 +0000 https://www.investmentexecutive.com/?p=469340 Report on industry conflicts to be published soon with CSA, CIRO

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