Top 5 regulatory articles from 2019

By Staff | December 23, 2019 | Last updated on December 23, 2019
1 min read
confusing array of advisor titles
Gil Martinez

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.

5. MFDA warns against one-size-fits-all approach to KYC

4. Investor anger about DSCs palpable in comment letters

3. Ontario budget aims to regulate planner and advisor titles

2. Potential effects of the new degree requirement for CFPs

1. $2.5-billion class action against Sun Life set to proceed

Advisor.ca staff

Staff

The staff of Advisor.ca have been covering news for financial advisors since 1998.