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Keyword: Compliance

350 results found
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FSRA issues guidance on credit unions' market conduct frameworks

virtual regulation

The regulator's reviews uncovered deficiencies at most firms examined

Compliance Rules Law Regulation Policy Business Technology concept.

Investment in compliance is rising along with what's at stake for asset managers

succession planning

An industry expert urged advisors to step up their game during IAFP's 2021 symposium

  • By: Katie Keir
  • September 24, 2021 September 24, 2021
  • 15:29
papers on a desk

Shortcoming uncovered in state regulators' compliance reviews, NASAA reports


The IIAC suggests regulators pay for system changes

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FSRA's consultation also includes insurers' related obligations to ensure agent suitability

  • By: IE Staff
  • September 9, 2021 September 10, 2021
  • 15:12

IOSCO sets guidance on overseeing AI use for investment firms, asset managers

old way, new way

The SRO has elected to maintain more prescriptive guidance around KYC reviews

  • By: Katie Keir
  • September 3, 2021 September 3, 2021
  • 11:44
plan idea

On a pilot basis, businesses in Alberta and Saskatchewan will be able to raise public capital more easily

  • By: IE Staff
  • September 1, 2021 September 1, 2021
  • 14:57