CIRO, CSA to publish joint report on CFR sweep in first half
CCIR, CISRO propose new guidance on the design, distribution of seg funds
Approval regime, proficiency are among areas covered in latest consultation
Regulators and investor advocates continue to eye banks’ fund market dominance, but branch advisors don’t feel hampered
Regulator details vision for retail funds that hold long-term assets
Advisor time constraints, attrition are controllable factors
Use these three steps to deal with clients who insist on unsuitable investments
Advisors should conduct independent analysis, educate clients, write detailed notes
Poorly designed KYC questionnaires at the heart of recent enforcement actions
Risky firms, crypto platforms add to compliance division's workload