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Keyword: Compliance

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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

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