After nixing the Canadian Securities Administrators’ (CSA) proposed ban on deferred sales charges (DSCs) in 2018, the Ontario government surprised the investment community when it announced in its April budget plans to regulate financial advisor and planner titles.
Details on titles are still to come, and the CSA is now moving on DSCs everywhere but in Ontario. The group of regulators has also has moved forward with amended client-focused reforms, and the Ontario government has signed on.
And by this time next year, we may be talking more about merging self-regulatory organizations.
Our regulatory coverage also touched on FP Canada’s new standards and various legal cases. The five most-read articles from 2019 are below.