Regulator's reviews uncover shortcomings in brokers' Reg BI compliance
Advisors must show that clients understood an investment and its risks
Stressed about the client-focused reforms? Try this different approach
The SRO provides clarity ahead of new year-end requirements, noting how products, fees and even ESG should be discussed
Revised KYP and product due diligence guidance accompany the rule changes
Advisors must “put the client’s interest first” when making a recommendation
The proposals are out for a 60-day comment period
The SRO is cracking down on dealer agreements with retail investors designed to shield firms from liability
The OSC says there is a lot of room for improvement in its 2019 summary report
Clients were advised to concentrate their holdings in precious metals sector funds