KYP

AI means potential ‘big shift’ in regulatory responsibilities: Kriegler AI means potential ‘big shift’ in regulatory responsibilities: Kriegler

Regulation

AI means potential ‘big shift’ in regulatory responsibilities: Kriegler

Greater accountability could fall to firms instead of advisors

By Michelle Schriver |April 22, 2026

2 min read

Client-focused reforms — four years in, still waiting for results Client-focused reforms — four years in, still waiting for results

Regulation

Client-focused reforms — four years in, still waiting for results

If firms’ processes work for ETFs but not for proprietary, illiquid or complex products, then the reforms have failed

By Harvey Naglie |December 17, 2025

5 min read

Industry falling short on CFR compliance: CSA, CIRO Industry falling short on CFR compliance: CSA, CIRO

Regulation

Industry falling short on CFR compliance: CSA, CIRO

Review documents failings in meeting KYC, KYP, suitability requirements

By James Langton |December 10, 2025

3 min read

Concerns follow regulators’ survey of mutual fund reps Concerns follow regulators’ survey of mutual fund reps

Regulation

Concerns follow regulators’ survey of mutual fund reps

Findings put bank branches’ proprietary shelves back in the spotlight, highlight lack of MER knowledge

By Michelle Schriver |October 29, 2025

7 min read