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Keyword: Compliance

277 results found
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

Business man with calculator

The association will lead a consultation on Guideline G19 with participation by both advisors and insurers

senior couple sitting at table with financial advisor

There are various steps advisors can take to ensure a positive client experience while still being compliant

Miniature of business men observing maze risk concept

Advisors need to educate themselves about the laws and regulations and monitor themselves to ensure they’re compliant with these rules

law regulations paper flat illustration

The 2018 Risk Assessment Questionnaire helps the regulator target its compliance reviews by identifying firms with higher risk rankings

guidelines and regulations binders

The online course explains the Quebec AMF’s regulatory framework, expectations and best practices regarding governance and compliance

  • By: IE Staff
  • March 22, 2018 February 15, 2019
  • 10:50

Consultation paper seeks input on making reporting requirements machine-readable and executable

High angle view of mallet eyeglasses legal book in courtroom

Lawyers may cost money, but they can help you be prepared to protect your licence, livelihood and reputation when speaking with regulators

Business woman showing stock market financial situation

Violations of the rule involve certain incentives programs