An SRO for advisors, increased regulation for insurance advisors, warnings on limiting access to financial advice, and more from the Advocis Regulatory Affairs Symposium in Toronto. Photo copyright: elen1/123RF.
November 17, 2016
An SRO for advisors, increased regulation for insurance advisors, warnings on limiting access to financial advice, and more from the Advocis Regulatory Affairs Symposium in Toronto. Photo copyright: elen1/123RF.
November 17, 2016Pierre Lortie, senior business advisor, Dentons Canada LLP, says evidence suggests retail investors will resist paying upfront fees for advice, leaving them at risk of failing to save enough for retirement.
Bhupinder Anand, managing director, Anand Associates, discusses his perspective on the aftermath of the U.K.’s 2013 Retail Distribution Review, which caused an exodus of investment advisors and reduced access to financial advice for low and middle-income investors. He spoke at the Advocis Regulatory Affairs Symposium in Toronto.
Although the provinces have not moved yet on the effort to see the creation of an SRO for advisors, clients could help tip the scale in that direction, experts say
The creation of an FSRA in Ontario and the rapid pace of regulatory change occurring on the investment side of the business has big implications for the life insurance industry
Follow our coverage of Bridging Finance Inc., a portfolio manager and exempt market dealer based in Toronto.
We dive into the intricacies of ETFs and investigate how the market is responding to recent trends.
The cease-trade order on all 11 ETFs from Emerge Canada Inc. represented the first time such an order had been placed on a family of…
