know your product – Investment Executive https://uat-phoenix.investmentexecutive.com Canada's news source for financial professionals Fri, 31 Jan 2025 21:06:13 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://uat-phoenix.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png know your product – Investment Executive https://uat-phoenix.investmentexecutive.com 32 32 CFR compliance sweep report on tap https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/cfr-compliance-sweep-report-on-tap/ Fri, 31 Jan 2025 21:06:13 +0000 https://www.investmentexecutive.com/?p=501492 CIRO, CSA to publish joint report on CFR sweep in first half

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]]> Closing the gap between mutual, seg fund regulation https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/closing-the-gap-between-mutual-seg-fund-regulation/ Wed, 08 Jan 2025 21:02:41 +0000 https://www.investmentexecutive.com/?p=499805 CCIR, CISRO propose new guidance on the design, distribution of seg funds

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]]> CIRO unveils next wave of rule consolidation https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/ciro-unveils-next-wave-of-rule-consolidation/ Thu, 17 Oct 2024 20:40:49 +0000 https://www.investmentexecutive.com/?p=494971 Approval regime, proficiency are among areas covered in latest consultation

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]]> Few advisor complaints about product shelf restrictions at the Big Six https://uat-phoenix.investmentexecutive.com/newspaper_/report-card-on-banks/few-advisor-complaints-about-product-shelf-restrictions-at-the-big-six/ Tue, 15 Oct 2024 12:47:51 +0000 https://www.investmentexecutive.com/?p=494473 Regulators and investor advocates continue to eye banks’ fund market dominance, but branch advisors don’t feel hampered

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]]> OSC looks to play the long game https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/osc-looks-to-play-the-long-game/ Thu, 10 Oct 2024 21:01:33 +0000 https://www.investmentexecutive.com/?p=494509 Regulator details vision for retail funds that hold long-term assets

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]]> Addressing internal challenges to wealth firms’ growth https://uat-phoenix.investmentexecutive.com/inside-track_/david-reeve/addressing-internal-challenges-to-wealth-firms-growth/ Wed, 02 Oct 2024 19:04:34 +0000 https://www.investmentexecutive.com/?p=493831 Advisor time constraints, attrition are controllable factors

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]]> Don’t go down with your client’s ship https://uat-phoenix.investmentexecutive.com/inside-track_/ellen-bessner/dont-go-down-with-your-clients-ship/ Mon, 30 Sep 2024 20:00:13 +0000 https://www.investmentexecutive.com/?p=493613 Use these three steps to deal with clients who insist on unsuitable investments

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]]> Avoid being sued over KYP shortfalls, expert tells IAFP symposium https://uat-phoenix.investmentexecutive.com/news/industry-news/avoid-being-sued-over-kyp-shortfalls-expert-tells-iafp-symposium/ Mon, 30 Sep 2024 19:18:21 +0000 https://www.investmentexecutive.com/?p=493661 Advisors should conduct independent analysis, educate clients, write detailed notes

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]]> ASIC calls for distribution improvements https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/asic-calls-for-distribution-improvements/ Tue, 10 Sep 2024 18:09:18 +0000 https://www.investmentexecutive.com/?p=492387 Poorly designed KYC questionnaires at the heart of recent enforcement actions

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]]> OSC’s compliance work escalates https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/oscs-compliance-work-escalates/ Fri, 26 Jul 2024 19:36:15 +0000 https://www.investmentexecutive.com/?p=490069 Risky firms, crypto platforms add to compliance division's workload

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