Firms that deliver on digital documentation and disclosure will reduce audit risk The wealth industry has faced an unprecedented wave of new regulations over the last decade, and 2022 may […]
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Firms use InvestorCOM’s compliance platform to satisfy KYP requirements: assess and monitor product shelf for material change and compare and document reasonable product alternatives. Toronto, ON, November 23, 2021 – […]
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Recently, InvestorCOM hosted a webinar with “Client Focused Reforms: Implementing KYP” featuring Rebecca Cowdery and Michael Taylor from BLG, Richard Wylie from Assante Wealth Management, and Parham Nasseri and Dave […]
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ON-DEMAND WEBINAR With the CFR implementation deadline fast approaching, many firms are looking for practical strategies for meeting the remaining elements of the CFRs. Watch this 60-minute on-demand webinar to […]
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The Client Focused Reforms and the introduction of the new KYP requirements place an explicit obligation on firms to reasonably assess, approve and monitor the securities (or products) made available […]
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Over the course of the Client Focused Reforms (CFR) journey, InvestorCOM has hosted a series of virtual forums for wealth management leaders to better understand the nuances of the regulation, […]
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Last week, the MFDA and IIROC published their much-awaited versions of the Client Focused Reforms (CFRs) (MFDA’s publication – IIROC’s publication). These versions are aimed to amend the Self Regulatory […]
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On March 26, 2020, the Investment Company Institute (ICI) announced that the average expense ratios of US domiciled equity, hybrid, and bond mutual funds—including both actively managed and index equity […]
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The past several weeks has changed many aspects of our personal and professional lives. It would be an understatement that the pace of change, including the transition to work from […]
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After an extensive investigation and feedback period, the CSA (Client Securities Administrators) recently released the published rule amendments to implement Client Focused Reforms (CFR) across Canada. CFR is a series […]
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