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Keyword: Client-focused reforms

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Advisors are at risk article image dominos falling
CFR compliance sweep report on tap article image Judge's gavel with magnifying glass on black.
Robo advisor sanctioned over CFR shortcomings article image Folder with the label Compliance alternate text for this image
Don’t go down with your client’s ship article image Stormy waters
No note-taking requirements in CFRs? Think again! article image confusion
OSC’s compliance work escalates article image Regulation
OSC has conflicts of interest in its crosshairs article image Grant Vingoe, CEO of the Ontario Securities Commission. Photo by Paul Lawrence
OSC to increase focus on DIY investors article image Silhouette of man at sunset
Do your notes pass the sniff test? article image Dispute at desk