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Keyword: Compliance

333 results found
advisor and client meeting

Regulators will expect an advisor’s analysis to be documented and sufficiently thorough

client meeting

You can build stronger relationships with clients by implementing new requirements now

OSC corporate finance report aims to aid compliance

IIROC outlined the challenges for firms and regulators in a new report


Requirements for fair trading between funds were first set in 1966

woman texting

Clients may prefer communicating via texts, but be careful about the information you exchange

  • By: Leah Golob
  • February 22, 2021 February 24, 2021
  • 00:06
advisor with client

Frictionless, relevant disclosure is critical to building trust with clients

  • By: David Reeve
  • February 12, 2021 February 12, 2021
  • 15:15
rules and regulations

The CSA, excluding the OSC, also urges Ontario to join its passport system

Judge's gavel with magnifying glass on black.

FAIR Canada supports tougher investor protection measures, but questions other proposals

man using mobile phone

Clients may prefer communicating by text, but texting clients comes with risks


Editorial: Ideally, the pandemic will serve as a catalyst for innovation

  • By: IE Staff
  • January 25, 2021 January 22, 2021
  • 00:02