Tag: csa

Richard Roskies

Client Focused Reforms: A Dialogue with Richard Roskies, AUM Law

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, openly discuss compliance challenges, and consider viable strategies for meeting the regulations. Anchored by these discussions, on February 2 2021, InvestorCOM hosted leading industry experts, […]

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Solutions for Client-Focused Reforms

  With the recent publishing of new Client-Focused Reform regulation, advisors and dealers are challenged with a new compliance obligation.  Our IE article this month provides some background on the reg and strategies to remain compliant. With the recent publication of new client-focused reforms (CFRs) on Oct. 3, advisors may be considering how they will meet yet […]

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