The regulatory framework that binds a financial system is hardly given a second thought by most investors
Get to know some of the key players in the financial services game
The “Client Relationship Model” (CRM) is a series of initiatives that touch on every aspect of the relationship between investors and participants (including dealers and advisors) in the investment industry.
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 must be given to investors, to the standards advisors must meet.