Adrian Walrath, assistant director, Investment Industry Association of Canada (IIAC), says advisors must be prepared to explain discrepancies between the fee and charges reports and performance reports that clients receive under CRM2.
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Group seeks revisions to U.S. state rule that match SEC's Reg BI reforms
Panel dismisses call for stronger deterrence given risks posed by crypto, social media
The move is expected to reduce delays, simplify the banking complaints system