“It’s no wild west” when a registered plan meets an exempt market product

Lauded as the less-restrictive companion to the public market, exempt market products are nevertheless subject to regulatory restrictions. While many understand the importance of working with a financial advisor to develop a strategy, less attention is often paid to another key player: the trustee or administrator of registered plan accounts.

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Change is In the Air

In the time that elapsed between the release of the CSA Proposed Amendments for Syndicated Mortgages and the close of the official comment period, twenty-six missives served to illustrate several pervasive trends in industry opinion and apprehension, as explained by General Counsel and Corporate Secretary for Community Trust, Kateryna Yason

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