Consistency and efficiency are the new priorities in securities regulation
Are dealers getting what they need from the regulators?
Ian Russell, IIAC president, discusses the main themes addressed at the Investment Industry Association Annual Conference. From tumultuous markets and regulatory changes facing the industry to current international trends, Russell sees challenges and a general trend of improvement and optimism in the future of financial advice. He spoke at the MaRS Discovery District in Toronto.
Rocky markets, technology and changing demographics mean advisors need to boost client engagement
The CRM will help ensure a consistent standard of conduct in the investing process and enhance respect for advisors and firms
Canadian financial regulators are hampered by the gridlock that comes with fragmentation. Independent oversight could promote new ways of thinking
Let’s not allow costly regulatory interference to undermine needed improvements
Canadian securities firms are doing more and more business abroad. It’s time for global regulators to catch up with the world of finance, where borders are increasingly porous
Despite the rebound in equities, the outlook remains murky in stock markets, regulatory compliance and business conditions
Despite the difficulty of reaching consensus, multilateral financial reform is crucial