Regulators found firms are failing to identify and manage conflicts in clients' best interests
Report on industry conflicts to be published soon with CSA, CIRO
Opinion: The cease-trade order on Emerge ETFs provides a cautionary tale for investors and advisors
New regulations and a changing market environment are leading to new types of funds
A review identified gaps in addressing conflicts associated with proprietary products
An InvestorCOM analysis of KYP outcomes provides positive evidence
Regulator's reviews uncover shortcomings in brokers' Reg BI compliance
Maintaining shelf flexibility and offering adequate product information are key components
We asked three experts
Significant product changes offer opportunities to engage clients, get to know them better and address suitability