Category - Regulatory

IFSE_Blog_TRANSPARENCY

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.


IFSE_Blog_PIPEDA

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.


IFSE_Blog_prospectus-final

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.