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Keyword: Compliance

336 results found
rules and regulations

New regulatory research will feed into reforms to shadow banking oversight

Handshake of businessmen - success, congratulation, greeting & business partner concepts

The deal will allow BLG to expand and automate its regulatory compliance services

  • By: IE Staff
  • May 6, 2021 May 6, 2021
  • 12:16
Lady overwhelmed by debt, tax, tax forms

A step-by-step guide to navigating the mountain of rules you must follow to protect your licence, reputation and livelihood 

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

REGULATION CONCEPT

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