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Ontario Securities Commission's Investor Advisory Panel Releases 2020 Annual Report

Ontario Securities Commissionâs Investor Advisory Panel Releases 2020 Annual Report
Date
06/05/2021
The Investor Advisory Panel (the IAP) today released its 2020 Annual Report summarizing its activities, submissions, consultations, and meetings during the calendar year.
In 2020, the IAP focused on the impact of the COVID-19 pandemic on retail investors, and the implications of several recommendations made by Ontario’s Capital Markets Modernization Taskforce in its interim and final reports. Additionally, the IAP continued to focus on what it considers to be critical areas of investor protection, including: credentialing, competencies and misleading titles; discontinuing embedded commissions such as deferred sales charges (DSCs); addressing the risks of syndicated mortgages; implementing the Client Focused Reforms; strengthening the Ombudsman for Banking Services and Investments (OBSI); understanding the impact of disruptive trends in the investment sp ....

Neil Gross , Investor Advisory Panel , Mutual Fund Dealers Association Of Canada , Investment Industry Regulatory Organization Of Canada , University Of Toronto Faculty Law , Ombudsman For Banking Services , Capital Markets Modernization Taskforce , Client Focused Reforms , Banking Services , Investment Industry Regulatory Organization , Mutual Fund Dealers Association , Investor Protection Clinic , நீல் மொத்த , பரஸ்பர நிதி விநியோகஸ்தர் சங்கம் ஆஃப் கனடா , முதலீடு தொழில் ஒழுங்குமுறை ஆர்கநைஸேஶந் ஆஃப் கனடா , பல்கலைக்கழகம் ஆஃப் டொராண்டோ ஆசிரிய சட்டம் , ஆஂபட்‌ஸ்மந் க்கு வங்கி சேவைகள் , வாடிக்கையாளர் கவனம் சீர்திருத்தங்கள் , வங்கி சேவைகள் , முதலீடு தொழில் ஒழுங்குமுறை ஆர்கநைஸேஶந் , பரஸ்பர நிதி விநியோகஸ்தர் சங்கம் , முதலீட்டாளர் ப்ரொடெக்ஶந் சிகிச்சையகம் ,

InvestorCOM Adds Competitive Intelligence Capability to Investment Product Management App

InvestorCOM Adds Competitive Intelligence Capability to Investment Product Management App
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TORONTO (PRWEB)
April 15, 2021
InvestorCOM, the leading provider of regulatory compliance software and communications solutions for the financial services industry, today announced the availability of a new competitive assessment capability within ShelfMonitor, InvestorCOM’s product shelf management tool.
ShelfAnalyzer™ empowers wealth management firms to easily evaluate how their products, including mutual funds, segregated funds, ETFs, equities, liquid alternatives, and variable annuities, stack up against their peers using key cost, risk, and return characteristics. For each product, ShelfAnalyzer generates a Peer Rating which enables firms to intelligently assess the competitiveness of their shelf. ....

United States , Dave Carr , Peer Rating , Client Focused Reforms , Regulation Best Interest , Dave Carr Pries , Press Release , ஒன்றுபட்டது மாநிலங்களில் , டேவ் கார் , பியர் ரேடிஂக் , வாடிக்கையாளர் கவனம் சீர்திருத்தங்கள் , ஒழுங்குமுறை சிறந்தது ஆர்வம் , ப்ரெஸ் வெளியீடு ,

NICE Actimize Introduces AI-Powered SURVEIL-X Suitability To Reduce Compliance Risk For Wealth Management, Insurance Firms - Selected By Leading Global Financial Services Organizations, SURVEIL-X Suitability Is Powered By New Risk Detection

NICE Actimize Introduces AI-Powered SURVEIL-X Suitability To Reduce Compliance Risk For Wealth Management, Insurance Firms - Selected By Leading Global Financial Services Organizations, SURVEIL-X Suitability Is Powered By New Risk Detection
Date
06/04/2021
Financial services organizations that provide investment advice, and which sell life insurance, annuities and other wealth products, are finding that regulators are escalating how closely they monitor advisor behaviour. To help these firms reduce compliance risk,
NICE Actimize, a NICE (Nasdaq: NICE) business, today announced the introduction of SURVEIL-X Suitability for Wealth and Insurance, a comprehensive AI-powered surveillance and suitability solution that builds on the capabilities of NICE Actimize’s industry-leading SURVEIL-X Holistic Conduct Surveillance platform. ....

New York , United States , Hong Kong , Chris Wooten , National Association Of Insurance , Futures Commission , Ontario Securities Commission , Investment Industry Regulatory Organization Of Canada , Monetary Authority Of Singapore Private Banking Sales , Hong Kong Monetary Authority , Regulation Best Interest , Investment Industry Regulatory Organization , Best Interest , Client Focused Reforms , Monetary Authority , Private Banking Sales , Advisory Practice , Executive Vice President , Natural Language Processing , New York Regulation , National Association , Insurance Commissioner , Annuity Transactions Model Regulation , புதியது யார்க் , ஒன்றுபட்டது மாநிலங்களில் , ஹாங் காங் ,

NICE Actimize Introduces AI-Powered SURVEIL-X Suitability To Reduce Compliance Risk for Wealth Management, Insurance Firms

NICE Actimize Introduces AI-Powered SURVEIL-X Suitability To Reduce Compliance Risk for Wealth Management, Insurance Firms
apnews.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from apnews.com Daily Mail and Mail on Sunday newspapers.

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How investment firms are tackling the adoption of the client-focused reforms

Mark Kent, president and CEO of Portfolio Strategies Corp. in Calgary, says the firm will only need to make minor changes as a result of the client-focused reforms, mostly around advisor training and updating documentation. Photo by Todd Korol/Globe & Mail
Todd Korol/The Globe and Mail
This article is the third in an ongoing series on the client-focused reforms, which will place investors’ interests first in their dealings with financial advisors and dealer firms and have a consequential impact on advisors and the investment industry.
The pandemic-driven shift to remote work has been both a help and a hindrance to investment industry firms working on updating their client relationship policies and procedures to meet new investor-protection rules that come into effect fully by the end of this year. ....

Todd Korol , Jamie Murray , Sara Gilbert , Dwayne Bolton , Edward Jones , Mark Kent , Chris Farkas , Strategist Business Development , Fasken Martineau Dumoulin , Murray Wealth Group Inc , Portfolio Strategies Corp , Canadian Securities Administrators , Murray Wealth Group , Murray Wealth , Globe Advisor , Client Focused Reforms , Investment Firms , Remote Work , Client Relationship Policies , Investor Protection Rules , Client Relationship Management Technology , Wealth Managers , ஜேமி முர்ரே , சாரா கில்பர்ட் , வேன் போல்டன் , எட்வர்ட் ஜோன்ஸ் ,