Home Compliance
Canadian insurance regulators focus on three key priorities

The self-regulatory organization will examine concentrations in high risk investments and suitability for senior investors

Areas of focus include fraud, high-risk firms and brokers, technology governance and cybersecurity, and market regulation

  • January 8, 2018 January 8, 2018
  • 15:30

There are various reasons why advisors take risks and get into trouble with regulators; here are some key measures you could take to protect yourself

The Quebec regulator intends to publish a governance and compliance guide for firms in early 2018

FSCO reports decrease in insurance advisors’ compliance rates

The regulator will begin sending out questionnaires to some advisors who are deemed to be higher risk to determine if they need a more in-depth compliance review

MFDA bans former rep for recommending unsuitable strategy

An OSC review in 2016 found significant deficiencies with the firm’s compliance systems

Brian Connell-Tombs taps into more than 20 years of experience with Canada’s regulatory agencies and industry oversight groups

  • By: IE Staff
  • September 28, 2017 September 28, 2017
  • 15:20

Examine every instruction from a client or power of attorney and take the appropriate steps if something doesn’t seem right

OSC compliance reviews continue to reveal deficiencies

The provincial regulator is likely to provide more guidance on mutual fund sales practice rule and seniors

FSCO reports decrease in insurance advisors’ compliance rates

CSA oversight review says SRO failed to adequately resolve issues raised in 2015