New & Proposed Regulations

Oct 2014

Much of the industry is worried about clients’ reactions to the new report on commissions and charges; but it’s the performance reports the industry should worry about

Jun 2014

Regulatory initiative may not solve this sneaky sales tactic

Apr 2010

Fund Facts won’t deliver on regulators’ good intent

May 2009

Three things I’d love to see regulators implement in the foreseeable future

Oct 2008

IIROC is biting off more than it can chew with its proposed financial planning rule

Dec 2007

New disclosure rules add more information & reports but result in reduced transparency

Nov 2007

New summary disclosure document fails on all-important risk and suitability guidelines


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