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Your search keyword '"Investment advisers -- Practice -- Laws, regulations and rules"' showing total 5 results
Start Over Descriptor "Investment advisers -- Practice -- Laws, regulations and rules" Topic general interest
5 results on '"Investment advisers -- Practice -- Laws, regulations and rules"'

1. Big money for advisers who switch firms turns clients into pawns

Author

Shufelt, Tim and O'Hara, Clare

Subjects
Investment advisers -- Practice -- Laws, regulations and rules, Counselor and client, Government regulation, General interest, News, opinion and commentary
Abstract

Byline: TIM SHUFELT, CLARE O'HARA If you, like millions of Canadians, work with an investment adviser, there's a good chance they will decide to switch firms at some point, leaving [...]

Published
2023

2. Ontario approves new rules for financial planners, advisers; Qualifications, credentials will become mandatory for people who refer to themselves by either title

Author

O'Hara, Clare

Subjects
Financial planners -- Practice -- Laws, regulations and rules, Investment advisers -- Practice -- Laws, regulations and rules, Financial services industry -- Officials and employees -- Laws, regulations and rules, Government regulation, Financial services industry, General interest, News, opinion and commentary
Abstract

Byline: CLARE O'HARA; Staff Ontario's Finance Ministry has given the green light for a new set of rules governing employees in the financial services industry who use the titles 'financial [...]

Published
2022

3. Rules shouldn't have prompted banks to halt fund sales: OSC

Author

O'Hara, Clare

Subjects
Ontario. Securities Commission -- Powers and duties, Investment advisers -- Practice -- Laws, regulations and rules, Banking industry -- Laws, regulations and rules, Investments -- Laws, regulations and rules -- Forecasts and trends -- Economic aspects, Government regulation, Market trend/market analysis, Banking industry, General interest, News, opinion and commentary
Abstract

Byline: CLARE O'HARA, Staff Lead Ontario's securities watchdog says new regulations that will soon require advisers to have deeper knowledge of the funds they recommend to clients should not have [...]

Published
2021

4. What client-focused reforms mean for Canadian investors; OPINION

Author

Tam, Ian

Subjects
Investment advisers -- Practice -- Laws, regulations and rules, Counselor and client, Investments -- Management, Government regulation, General interest, News, opinion and commentary, Canadian Securities Administrators -- Powers and duties
Abstract

Byline: IAN TAM Lead CFA, director of investment research for Morningstar Canada A gainst a backdrop of regulatory changes worldwide, our own Canadian Securities Administrators have set out to improve [...]

Published
2021

5. New Financial Investment Rules May Aid Robo Advisers

Author

Moyer, Liz

Subjects
Investment advisers -- Practice -- Laws, regulations and rules, Financial services -- Services -- Laws, regulations and rules, Investments -- Laws, regulations and rules, Government regulation, Financial services industry, General interest, News, opinion and commentary
Abstract

Washington's new rules for financial advisers may give so-called robo advisers a leg up in the battle for investor dollars. The new rules, announced on Wednesday, are expected to encourage [...]

Published
2016

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