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Keyword: Compliance

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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 March 22, 2018
  • 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

Business man with calculator

New disclosure rules from CLHIA draw complaints

Washington DC skyline with Monument Capitol and Abraham Lincoln memorial

The U.S. regulator will focus on cost and compensation disclosure, the supervision and oversight of reps and fixed-income trading execution

Are firms shifting clients into lower-cost funds as appropriate?

The helpline aims to provide immediate answers on basic compliance questions

CI makes portfolio management changes

The AMF will follow up on the results of the review and may require firms to make changes to their “Fund Facts” documents

FSCO reports decrease in insurance advisors’ compliance rates

Emphasis is on CRM2, cybersecurity and conflicts of interest