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Keyword: regulation

176 results found
client meeting

Surveys show that the introduction of Fund Facts and CRM2 reports is achieving policy objectives

rules and regulations

Two commissioners have criticized the weaker standards, claiming they reduce transparency

Wooden dominos falling

Either develop a plan to complete the project, or scrap it entirely, writes Ian Russell

  • By: Ian Russell
  • October 14, 2020 October 14, 2020
  • 11:47
rules and regulations

Exemptions largely help to accommodate realities of remote working

businessman showing where to sign agreement law contract pen

Ontario's securities regulator warns firms to seek registration ahead of the upcoming regulatory transition

businesswoman thinking

The client-focused reforms will require you to demonstrate that you’ve considered a “reasonable range of alternatives”

businessman with binoculars

Concerns have intensified because of the pandemic

flag of ontario flying high on a flag post, against blue sky

In the midst of a global pandemic, Ontario's decision to allow DSCs looks worse than ever

  • By: IE Staff
  • October 9, 2020 October 8, 2020
  • 00:01

Proposed rule changes would give SRO staff authority to issue exemptions from certain re-papering requirements

Couple getting financial advice

The recent uptick in small advisory firms reflects several factors affecting the Canadian wealth business