Rebecca Cowdery

Regulation

CSA proposes alternative funds be made available to retail investors — with safeguards

December 15, 2016 Dan Richards, Rebecca Cowdery
CSA proposes alternative funds be made available to retail investors — with safeguards
Special Reports

Regulators propose dramatic expansion of KYP requirements

October 24, 2016 Dan Richards, Rebecca Cowdery
Regulators propose dramatic expansion of KYP requirements
Special Reports

Understanding the CSA’s conflicts of interest proposals

October 9, 2016 Dan Richards, Rebecca Cowdery
Understanding the CSA’s conflicts of interest proposals
Special Reports

What advisors need to know about the CSA’s “best interest” standard

September 22, 2016 Dan Richards, Rebecca Cowdery
What advisors need to know about the CSA’s “best interest” standard
Special Reports

ETF Facts: New disclosure requirement proposed for Canadian ETFs

August 10, 2015 Rebecca Cowdery
ETF Facts: New disclosure requirement proposed for Canadian ETFs
Special Reports

Point of sale: Requirements and exceptions for online and phone sales

July 21, 2015 Rebecca Cowdery
Point of sale: Requirements and exceptions for online and phone sales
Special Reports

Build point of sale into your practice

July 14, 2015 Rebecca Cowdery
Build point of sale into your practice
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