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Keyword: Compliance

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You can minimize compliance risk by keeping thorough, up-to-date records

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Best-interest concept and incentive programs to be examined

  • By: Katie Keir
  • November 15, 2019 November 14, 2019
  • 00:13
Compliance Rules Law Regulation Policy Business Technology concept.

Firms spent over US$1 billion on regtech last year

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Sophisticated buyers will know what to look for to determine if it is a compliant business

businessman race hurdle competition

From the continued weight of compliance to market fears, there are multiple hurdles to overcome

tax inspector investigating financial documents

After reaching settlements with TD and RBC, the OSC put other firms on notice

guidelines and regulations binders

The new guidance applies to order-execution-only firms

compliance solutions rubber stamp

The guidance aims to help firms identify and engage appropriate consultants

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Referral cases more than doubled from 2018 to 2019

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New committee to provide input on technical compliance challenges