by admin | Oct 31, 2017 | Blog, Regulatory
The regulatory framework that binds a financial system is hardly given a second thought by most investors. It works in the background, reliably doing its job. You really don’t notice it unless it breaks down. If it does, only then do you appreciate how vital it is to...
by admin | Oct 10, 2017 | Blog, Industry Insights
Terms such as “mutual fund manufacturers,” “portfolio managers” and “mutual fund dealers” are thrown around a lot in the financial services industry. But what do these organizations actual do? Here, we give you an overview of several key entities operating in the...
by admin | Sep 27, 2017 | Blog, Regulatory
In 2017, the Investment Funds Institute of Canada (IFIC) published a report examining the latest regulatory developments around the globe. The report tracks the initiatives and efforts of 16 key international markets on how they have addressed potential conflicts of...
by admin | Jun 20, 2017 | Blog, Industry Insights, Regulatory
How the industry is getting ready to switch from T+3 to T+2 One day may not seem like a big deal but, when it comes to trade settlements, it is. In fact, it’s a wide-ranging, highly involved shift that involves markets across the globe. Many regions have already made...
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...
