Keyword: Client-focused reforms

111 results found
Skyline of the financial district

Editorial: By narrowing product lineups to proprietary funds alone, the banks are vulnerable to critics who allege their overwhelming market power stifles competition

  • By: IE Staff
  • September 14, 2021 December 3, 2021
  • 00:03
client meeting

Transparency helps clients better understand the advisory relationship

  • By: Susan Silma
  • September 8, 2021 September 9, 2021
  • 16:10
rules and regulations

IIROC's guidance on CFR requirements should include more information on risk, dependants and ESG, submissions say

plan idea

Annual report from OSC compliance branch signals exam targets for the year ahead

advisor-client meeting

Why segmenting product shelves into peer groups can help meet regulatory challenges

client meeting

Advisors must “put the client’s interest first” when making a recommendation

Regulators are granting relief from certain CFR requirements to allow DSC sales until a ban takes effect

client meeting

The proposals are out for a 60-day comment period

The regulator has adopted rule changes to end DSCs by June 2022

Citing continued consumer harm and a lack of trust, regulator plans tougher consumer protection requirements