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Keyword: Compliance

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Gavel and legal books

Renee Michelle Penko will spend 30 days in jail

  • By: IE Staff
  • January 10, 2019 January 10, 2019
  • 12:15
meeting room interior with table, raw of chairs and block-notes,decorated in black and white tones

The RAC serves as a forum to discuss compliance and registration issues

business people standing in line under a magnifying glass

Inadequate due diligence on products a “common contributor” to suitability failings

Compliance reviews are increasingly leading to enforcement action

The regulator expects the new structure to increase compliance efficiency and effectiveness

conflict of interest illustration

Take these four steps to avoid mistakes that can cost advisors their livelihood

compliance puzzle

Some registered firms are not establishing an adequate compliance system

compliance puzzle

If you can’t read and digest all the rules, make sure to understand the principles behind them

checking stock market data on a mobile device

By removing friction, adding convenience and changing the value proposition, you can protect your practice from the growing influence of robo-advisors

buildings and architecture of montreal, quebec

A 2016 review found weaknesses in the firm’s internal controls and supervisory systems