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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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 investor protection can be mutually compatible”; however, careful consideration is required to ensure that investor protection is maintained while removing compliance friction from the investment […]
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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 in the McKinsey report, the role of FinTech in retail banking and wealth management appears to be introducing alternative business models that are definitely disrupting […]
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We are less than 3 weeks away from the May 30th deadline, where dealers must have a process to deliver Fund Facts prior to accepting trade instructions from investors and the MFDA has indicated that extension of mutual fund regulation principles to insurance (Segregated funds) is in its preliminary stage. This article should definitely have the […]
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The Ontario government quietly amended the Ontario Securities Act a few weeks ago, paving the way for even greater disclosure and compliance measures by dealers and their advisors. In fact, as Blakes highlights in their June 29, 2015 bulletin the new record-keeping obligation will place even more onus on all dealers, advisors and other market […]
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The Canadian investment community awaits the CSA’s final Stage 3 rules for National Instrument 81-101 which are due to be published in the next 4 weeks. This will establish the specific guidelines with respect to pre-trade delivery of the Fund Facts document and with that, the CSA has recently launched an interactive sample of a […]
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