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Wealth Professional | 17 Oct 2013, 12:00 AM Agree 0
Toronto advisors have described a UK regulator's new policy on consumer protection as "chilling," saying it could tread on the rights of industry professionals in its quest for transparency.
  • Doug McCaw | 21 Oct 2013, 07:12 AM Agree 0
    Disclosure of advisor history via a Security Commission database is prevalent in the US and a helpful source of information to an investor making a decision regarding choice of an advisor. Nothing, however should be posted UNTIL an advisor has been charged by a responsible, totally independent ethics body AND such posting must be followed up with a posting of the decision once rendered. Let's protect the public!
  • Katy | 03 Jan 2014, 03:31 AM Agree 0
    Allegations should not be published until proven
  • Bob White | 10 Jan 2014, 10:18 AM Agree 0
    An allegation is exactly that until found guilty by why of the law of the land. Post complaints on the data base, but no public note until proven guilty.

    Advertise that if the public wants to check out an advisor's credibility, check the data base, make consumers more responsible for doing some due diligence to protect them and the good advisor's.


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