Episode 3: The Future of Regulation in Canada with Bill Donegan

Brace yourself for a regulatory rollercoaster ride with Bill Donegan! This episode takes you on a journey through the recent regulatory merger in Canada, its potential implications, and the ripple effects it might have on advisors and firms. Powered by his rich experience with both the Mutual Fund Dealers Association (MFDA) and the Investment Industry Regulatory Organization of Canada (IIROC), Bill sheds light on the transition towards a more efficient and transparent regulatory process. Delving into the intricacies of this merger, we also uncover the possible loopholes and arbitrage scenarios that might emerge.

The conversation doesn't stop at the regulatory landscape; it extends to how these changes will directly impact advisors. We discuss the likely surge in workload due to these reforms and how technology could step in to bridge the efficiency gap. You also wouldn't want to miss Bill's insightful commentary on the potential implications of the MFDA IIROC merger and the future of settlements. If that's not enough, Bill also offers some invaluable advice for advisors on simplifying compliance and working successfully with their compliance teams. Whether you're an advisor looking to adapt to the Canadian regulatory scene or someone eager to understand its nuances, this episode is a must-listen.

Links mentioned in the episode:
www.aumlaw.com

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Staying Ahead of the Curve: Insights for Financial Advisors

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