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Keyword: Client-focused reforms

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dominos falling

Protect your business and reputation by managing these 5 risks

Judge's gavel with magnifying glass on black.

CIRO, CSA to publish joint report on CFR sweep in first half

Compliance sweep in 2022 found WealthBar wasn't meeting new standards

Stormy waters

Use these three steps to deal with clients who insist on unsuitable investments

confusion

The rules are in code. Here’s how to crack the code

Regulation

Risky firms, crypto platforms add to compliance division's workload

priority

SRO integration and investor protection also on the agenda

Grant Vingoe, CEO of the Ontario Securities Commission. Photo by Paul Lawrence

Newsmaker: CEO Grant Vingoe also wants to see binding decision-making authority for OBSI

Silhouette of man at sunset

The regulator also wants to toughen enforcement and see better advice given at banks

Dispute at desk

Here are three steps to prove suitability