New Suitability requirements likely to energize ETFs, PTFs and Mutual Funds The recent client-focused reforms (CFRs), amendments to
National Instrument 31-103, require advisors and firms to...
Earlier this month, the Canadian Securities Administrators (CSA) published the long awaited notice of amendments to its Client Focused Reforms. As we've noted in a previous post,...
Over the past three decades, the dominant retail wealth management business model has undergone a significant evolution, shifting in focus from product to distribution to...
In June 2018, the Canadian Securities Administrators (CSA) proposed a set of reforms calling for more rigorous client best-interest regulations. This proposal was met with...
The next wave of regulatory requirements link together KYC, KYP, and KYA
A lot has been written about the creation of client best interest principles or...
