The SRO has elected to maintain more prescriptive guidance around KYC reviews
On a pilot basis, businesses in Alberta and Saskatchewan will be able to raise public capital more easily
One weak area was application processing for prospective mortgage brokers and insurance agents
Annual report from OSC compliance branch signals exam targets for the year ahead
OBSI’s Joint Regulators Committee said client compensation has fallen $1.3 million short of the recommended payout over three years
Why segmenting product shelves into peer groups can help meet regulatory challenges
New regulatory research will feed into reforms to shadow banking oversight
The deal will allow BLG to expand and automate its regulatory compliance services
A step-by-step guide to navigating the mountain of rules you must follow to protect your licence, reputation and livelihood
Regulators will expect an advisor’s analysis to be documented and sufficiently thorough