Effective compliance measures mean you’re less likely to lose clients
Guidance aims to allow more tailored setups for compliance officers
Mark White, CEO of FSRA, discusses the regulator’s cuts to insurance guidance
The firm has teamed up with Toronto-based education provider Learnedly
Initial compliance exams will focus on firms' commitment to adopting new requirements
The U.S. SRO will charge fees for reporting Treasuries trades
Balzac’s founder Diana Olsen has achieved success by sticking to her strengths — and you can too
How to protect yourself from risks of insider trading
Direct access, client identifiers and AI top the list
Firms also can use technology to facilitate client onboarding and to make client reporting more engaging and interactive