by admin | Jan 10, 2017 | Blog, Regulatory
The final stage of Client Relationship Model – Phase 2 (CRM2) will be rolled out by most dealers in early 2017. That means preparing for important conversations with clients about new information they will see on their investment account statements. There are two main...
by admin | Dec 6, 2016 | Blog, Regulatory
We’ve all heard about the controversy and consequences surrounding security breaches of personal information. Even as technology continues to advance, challenges remain concerning the collection and use of personal information. In 2015, Canada’s Digital Privacy Act...
by admin | Nov 29, 2016 | Blog, Regulatory
Before a conventional mutual fund manufacturer can sell securities to investors, it must prepare several documents and file them with the appropriate securities regulator. One of those documents is the simplified prospectus. What is a conventional mutual fund? A...
by ext | Aug 2, 2016 | Blog, Industry Insights, Regulatory
How does one weigh returns? Recent regulatory changes are going to dramatically impact how individuals view their investment returns. Learn what you need to know and when you need to know it. By the time you read this message, the rollout of Client Relationship Model...
by ext | Jun 23, 2016 | Blog, Regulatory
The Canadian mutual fund industry is highly regulated. Several organizations exist to make sure everyone in the industry follows similar rules and standards and acts to protect investors. These organizations govern everything from how and when information about a fund...
