National Association of Federal Retirees October 15, 2018 ...
Best Practices in choosing and working with a Financial Investment Advisor
National Association of Federal Retirees October 15, 2018
Debra Foubert, Director Compliance and Registrant Regulation
Disclaimer
? The views expressed in this presentation are the personal views of the presenting staff
and do not necessarily represent the views of the Commission or other Commission staff.
? The presentation is provided for general information purposes only and does not
constitute legal, accounting or financial advice.
? The information provided includes typical examples. It is not an exhaustive or
complete list of all requirements or options.
? The contents of this presentation should not be modified without the express written
permission of the presenter.
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Agenda
Regulatory landscape Focus on securities industry Resources to assist with navigating the securities industry
Choosing Your Advisor Tools and Tips for understanding what to expect when working with an advisor
Working with Your Advisor Best Practices Switching advisors
New Regulatory Proposal
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Ontario Securities Commission
? Mandate ? Provide protection to investors from unfair, improper or fraudulent practices ? foster fair and efficient capital markets, and ? contribute to the stability of the financial system by making and monitoring
compliance with rules governing the securities industry in Ontario
? Compliance and Registrant Regulation Branch
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Ontario Securities Commission
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Canadian Securities Administrators (CSA)
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Self Regulatory Organizations (SROs)
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Regulatory landscape beyond securities
Office of the Superintendent of Financial Institutions (OSFI) supervises and regulates federally registered banks and insurers, trust and loan companies, as well as private pension plans subject to federal oversight
Financial Consumer Agency of Canada (FCAC) - consumer protection measures, promotes financial education and raises consumers' awareness of their rights and responsibilities
Financial Services Commission of Ontario (FSCO) - regulates the insurance sector; pension plans; loan and trust companies; credit unions the mortgage brokering sectors and others
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