Tag Archives: Fiduciary Duty

IIAC 2015 Survey of Canada’s Investment Dealer CEOs (IIAC Blog)

IIAC 2015 Survey of Canada’s Investment Dealer CEOs (IIAC Blog)

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Fiduciary Standard for Advisors Not the Answer (IIAC Blog)

Fiduciary Standard for Advisors Not the Answer (IIAC Blog)

The Canadian Securities Administrators (CSA) has focused on fiduciary duty to ensure dealers and their advisors act in the best interests of their client. Acting in a client’s best interest means ensuring client interests are paramount; conflicts of interest are avoided; clients are not exploited; clients are provided with full disclosure; and services are performed reasonably prudently.

In my letter to the editor appearing in the October 2015 edition of Investment Executive, I noted that Canada’s investment industry fully supports a high standard of conduct for retail advisors. Industry efforts over the past four years to … Continue reading

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