Regulation

Regulators won’t stop at CRM2

Advisors can’t fight regulatory change.

November 12, 2014

5 min read

CSA pulls back on boosting early warning reporting

The CSA's published CSA Notice 62-307, an update to early warning reporting proposals.

By Staff |October 10, 2014

1 min read

Regulations are hitting Goldman Sachs right in the pocket book

American securities rules enacted in the wake of the financial crisis focus on the areas that make Goldman Sachs the most money, raising doubts as to whether the firm will keep being so profitable.

By Staff |October 8, 2014

1 min read

Set boundaries for assistants

Delegating tasks to staff lets you spend more time with clients.

October 3, 2014

3 min read