Tag: Regulatory

Solutions for Client-Focused Reforms

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 […]

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Reducing Regulatory Burden

Reducing Regulatory Burden

This recent G+M article provides a good summary of the Regulatory Burden Reduction initiative that the OSC and other CSA partners have initiated. As the article states “burden reduction and […]

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ETF Facts to be delivered December 10th

ETF Facts to be delivered December 10th

‘If you invest in an exchange-traded fund, you should have a better idea of exactly what it is by early December. The Canadian Securities Administrators has set December 10th as […]

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RegTech is the new Fintech!

While the name is new, the marriage of technology and regulation to address regulatory challenges has existed for some time. Increasing levels of regulation and a greater focus on data […]

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FinTech as a Disruptor or an Enabler?

The emergence of FinTech as a disruptor to traditional financial services models dominates the conversation and yet a recent McKinsey report provides a different spin on this trend.  As stated […]

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Advisor showing TD Fund Facts Delivery

Marketing vs. Regulatory Disclosure

I recently attended a conference entitled “Does Disclosure Work?” hosted by the Capital Markets Institute and the Canadian Foundation for Advancement of Investor Rights (a.k.a. FAIR Canada) at the University […]

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