Live Breaking News & Updates on Client Relationship Policies

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. ....

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