The corporate regulator’s investment leader flagged managed account fee complexity and the potential for conflicts therein as a major concern. A report won’t be forthcoming, he said, but "policy and regulatory settings" may be updated.
Tahn SharpeDecember 5, 2019
The regulator has released the ‘reasonable’ actions licensees will need to take in their interim ethics monitoring role, and highlighted the specific Standards it will take a "facilitative" approach to.
Tahn SharpeNovember 26, 2019
‘Most people panic’, Rhett Das says, when the regulator reaches out as part of a surveillance exercise or investigation. But panic is still better than procrastination.
Tahn SharpeNovember 20, 2019