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Keyword: Outsourcing

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New guidance aims to bring mutual fund dealer arrangements under consistent regulatory oversight

Outsourcing some aspects of a financial advisory practice is becoming increasingly popular because there are more options available and technology has made delivery of services faster and less expensive

Fund dealers advised to review their existing arrangements

Regulator spells out its expectations for the due diligence that firms must carry out before outsourcing any activity

Client call centres will remain in Canada

Government promises reform

Draft guidance indicates that dealers cannot outsource the account opening process, assessing suitability, or handling client complaints

IIROC will be issuing new guidance in October addressing outsourcing arrangements

FasTrac aims to capitalize on increased regulatory scrutiny and a push for faster processing

The International Organization of Securities Commissions’ Technical Committee has published a final report setting out principles designed to guide exchanges, and their regulators, when considering outsourcing arrangements.The principles set out the factors that market operators should consider when deciding whether, and to whom, to outsource certain functions; and they are designed to assist market authorities […]