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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

Open law book with a wooden judges gavel on table in a courtroom or law enforcement office isolated on white background

Pressures to build your business should not lead advisors to disregard 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