Firms can continue to use alternative compliance approaches
Committee provides regulator with feedback on compliance, policy issues
Working capital deficiency and other compliance issues led to suspension
New client identifier requirements for listed securities take effect in July 2021
Allegations will now be published in advance of disciplinary hearings
Deadlines to implement the client-focused reforms were extended, and dealers are working out how to comply with the new requirements
While your compliance department may seem as if it’s working against you, compliance is essential to protecting your clients and your business
IIROC calls for added controls on inside information in remote-work environments
The death of independent dealers was greatly exaggerated
Bank hit with $400-million penalty from the U.S. federal banking regulator