The regulator's reviews uncovered deficiencies at most firms examined
Investment in compliance is rising along with what's at stake for asset managers
An industry expert urged advisors to step up their game during IAFP's 2021 symposium
Shortcoming uncovered in state regulators' compliance reviews, NASAA reports
The IIAC suggests regulators pay for system changes
FSRA's consultation also includes insurers' related obligations to ensure agent suitability
IOSCO sets guidance on overseeing AI use for investment firms, asset managers
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