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Keyword: Compliance

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Shot of a group of young businesspeople using a laptop during a meeting in the boardroom of a modern office

ShelfMonitor scans for changes to investment products

  • By: IE Staff
  • January 14, 2020 January 14, 2020
  • 12:02
Happy businesswoman handshaking with client closing deal in an office interior with a window in the background

Why KYC updates have never been more important to your success

Female tax inspector looking at corporate financial documents with magnifying glass

Retail investor issues, as well as registered investment advisors, will be under scrutiny

Happy businesswoman handshaking with client closing deal in an office interior with a window in the background

Investor protection and industry innovation highlight the SRO's compliance priorities

business people standing in line under a magnifying glass

You can minimize compliance risk by keeping thorough, up-to-date records

rules and regulations written on folder

Best-interest concept and incentive programs to be examined

  • By: Katie Keir
  • November 15, 2019 November 14, 2019
  • 00:13
Compliance Rules Law Regulation Policy Business Technology concept.

Firms spent over US$1 billion on regtech last year

law regulations paper flat illustration

Sophisticated buyers will know what to look for to determine if it is a compliant business

businessman race hurdle competition

From the continued weight of compliance to market fears, there are multiple hurdles to overcome

tax inspector investigating financial documents

After reaching settlements with TD and RBC, the OSC put other firms on notice