2014 Editorials

December 8, 2014

Clients Aren’t Anyone’s Property
By Neil Gross

When an advisor switches firms, it’s the investor’s choice whether to stay or follow. Nothing should interfere with that

November 10, 2014

What needs to be said about what not to say
By Neil Gross

If CRM2 is to be a game-changer for investors, it must not be diluted by the artful use of spin or information overload

October 14, 2014

KYP in A Complicated World
By Neil Gross

How can there be meaningful know-your-product compliance while complex new investments have as yet unknown performance characteristics?

September 15, 2014

Does Disclosure Actually Work?
By Neil Gross

Research in behavioural economics has begun to raise questions that are disturbing and inconvenient. But they can’t be ignored

August 21, 2014

Robo-advisors might prompt shift to best interests standard
By Neil Gross

In response to this rising trend, traditional advisors may be forced to offer ever-greater protection, catapulting them straight toward fiduciary status

July 21, 2014

How to Protect Clients with Signs of Cognitive Impairment
By Neil Gross

Here’s what advisors should do when they suspect a client’s ability to make significant financial decisions is deteriorating

June 23, 2014

Culture of Resistance is the Problem, not Regulatory Burden
By Neil Gross

After stonewalling reforms for years, the investment industry has no one but itself to blame for the onslaught it now complains about

May 26, 2014

Fundamental Change to OBSI is Needed
By Neil Gross

With some dealers making a mockery of OBSI, it’s time for regulators to build a dispute-resolution system that cannot be subverted

April 28, 2014

Investor Confidence: Gone in 60 milliseconds
By Neil Gross

It’s essential that regulators move quickly on high-frequency trading to ensure securities exchanges and ATSs operate in a manner that all investors — regardless of their size or speed — can utilize with utmost confidence

March 31, 2014

Standards Needed for Risk Tolerance Assessments
By Neil Gross 

The development of detailed standards for risk-tolerance assessment will enhance consumer protection and help advisors and their dealers reduce their exposure to claims and disciplinary proceedings

March 2, 2014

The CSA Must Act on Critical Reforms
By Ermanno Pascutto

Two key issues — the best-interests standard and reform of mutual fund fees — require timely and effective action

February 3, 2014

Treat Shareholders Fairly When Venture Issuers Raise Capital
By Ermanno Pascutto

FAIR Canada supports exemptions that have the key features of rights offerings or private placements in compliance with the TSXV’s private placement rules

January 6, 2014

Reform of Accredited Investor Exemption is Needed
By Ermanno Pascutto

Current regulations assume that an investor’s wealth is a proxy for sophistication. This has to change

Editorials for 2016, 2015, 2013

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