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 | Jan 31, 2017 | Blog, Regulatory
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. Through CRM, investors will get clear, thorough,...
by ext | Jun 23, 2016 | Blog, Regulatory
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...
