The Business and Regulation of Financial Services

The Business and Regulation of Financial Services

Part I The Canadian Regulatory Landscape

From the McKay report to the Expert Panel on Securities Regulations, it has been over ten years that all stakeholders have been discussing about “improvement to the Canadian Regulatory framework”. To most domestic and international market participants, it is very clear that changes MUST take place now.
In your opinion, what were (are) the major obstacles of change in the last ten years? Do you think the latest round of discussion and call for action will finally lead to meaningful, successful changes to the Securities Regulation Framework of Canada? Can the latest proposed changes lead us into the future as one of the leading financial services centre of the world with competitive capital market and well protected consumers?

Part II Consumer Protection
Protection of seniors from financial harm has been a regulatory focus lately. In order to maintain market integrity and confidence, we must do more to educate , serve and protect seniors.
Identify some issues and concerns specifically related to seniors in the investment market. What can we do to resolve these issues and better serve seniors