Keyword: Client-focused reforms

109 results found
rules and regulations

Dealers must prepare for ongoing CFR reviews and expiring pandemic exemptions, priorities report says

criticism

Advocates and industry agree: Think bigger about the IAP

business growth

Stressed about the client-focused reforms? Try this different approach

By leveraging the regulations, you can build deeper relationships and reinforce the value of your advice

  • By: Susan Silma
  • February 2, 2022 February 2, 2022
  • 15:00
piggy banks proliferate

Institutions respond to tied selling allegations

The SRO provides clarity ahead of new year-end requirements, noting how products, fees and even ESG should be discussed

Report casts doubt on regulator’s independence

Ontario's auditor general said the OSC could have acted sooner to address "hidden and unfair" fund fees

business man using magnifying glass to inspect documents

The regulator is set to examine banks' product shelves and tied selling

Queen's park, Ontario

The Ontario government has asked the OSC to review banks' fund lineups, tied selling