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Keyword: Compliance

353 results found

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
rules and regulations

One weak area was application processing for prospective mortgage brokers and insurance agents

  • By: Katie Keir
  • August 30, 2021 August 30, 2021
  • 15:37
plan idea

Annual report from OSC compliance branch signals exam targets for the year ahead

business people standing in line under a magnifying glass

OBSI’s Joint Regulators Committee said client compensation has fallen $1.3 million short of the recommended payout over three years

advisor-client meeting

Why segmenting product shelves into peer groups can help meet regulatory challenges

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