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Advisors need to educate themselves about the laws and regulations and monitor themselves to ensure they’re compliant with these rules

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The 2018 Risk Assessment Questionnaire helps the regulator target its compliance reviews by identifying firms with higher risk rankings

guidelines and regulations binders

The online course explains the Quebec AMF’s regulatory framework, expectations and best practices regarding governance and compliance

  • By: IE Staff
  • March 22, 2018 March 22, 2018
  • 10:50

Consultation paper seeks input on making reporting requirements machine-readable and executable

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Lawyers may cost money, but they can help you be prepared to protect your licence, livelihood and reputation when speaking with regulators

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Violations of the rule involve certain incentives programs

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New disclosure rules from CLHIA draw complaints

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The U.S. regulator will focus on cost and compensation disclosure, the supervision and oversight of reps and fixed-income trading execution

Are firms shifting clients into lower-cost funds as appropriate?

The helpline aims to provide immediate answers on basic compliance questions