Canadian securities, mutual fund and insurance regulators have deemed suitability to be a top priority. And that means if you’re a financial advisor in this country, all regulatory eyes are upon you.
The genesis of the Client suitability and appropriateness framework lies in Markets in Financial Instruments Directive (MiFID II) regulation. MiFID II is scheduled to be implemented in January 2018.
This article looks at the enhanced suitability requirements of the client-focused reforms (CFRs). It’s the fourth in my series that explores aspects of the regulations that will have the greatest ...
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