Issue link: http://clhia.uberflip.com/i/845971
Contents Background ................................................................................................................................................... Establishing a Licensing Regime for Distribution Firms ............................................................... 1 | Definition of a Distribution Firm ....................................................................................... 2 | Licensing & Standards .......................................................................................................... 3 | Roles & Responsibilities: Advisors, Distribution Forms & Insurers .................... 4 | Accountability .......................................................................................................................... Other Industry Initiatives to Improve Advisor Oversight ............................................................. 1 | Awareness ................................................................................................................................. 2 | Industry-Wide Solution for Routine Compliance Monitoring .............................. 3 | Practice Reviews ...................................................................................................................... 4 | Identified Risks ........................................................................................................................ 5 | Record of Disciplinary Decisions ....................................................................................... Conclusion ..................................................................................................................................................... Appendix I .................................................................................................................................................... 1 2 2 2 4 5 6 6 6 7 7 7 7 8